{"id":18216,"date":"2010-09-05T10:10:19","date_gmt":"2010-09-05T10:10:19","guid":{"rendered":""},"modified":"2010-09-05T10:10:19","modified_gmt":"2010-09-05T10:10:19","slug":"nghi-dinh-ve-xu-phat-vi-pham-hanh-chinh-trong-linh-vuc-chung-khoan-va-thi-truong-chung-khoan","status":"publish","type":"post","link":"https:\/\/dntieubieuna.vn\/?p=18216","title":{"rendered":"Ngh\u1ecb \u0111\u1ecbnh V\u1ec1 x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n"},"content":{"rendered":"

CH\u00cdNH PH\u1ee6<\/FONT><\/H2>

________<\/SUP><\/FONT><\/P>

S\u1ed1: 85<\/B>\/2010\/N\u0110-CP<\/FONT><\/P><\/TD>

C\u1ed8NG H\u00d2A X\u00c3 H\u1ed8I CH\u1ee6 NGH\u0128A VI\u1ec6T NAM<\/B><\/FONT> <\/FONT>

\u0110\u1ed9c l\u1eadp \u2013 T\u1ef1 do \u2013 H\u1ea1nh ph\u00fac
__________<\/B><\/FONT> <\/FONT>

H\u00e0 N\u1ed9i, ng\u00e0y  02  th\u00e1ng  8  n\u0103m 2010<\/I><\/FONT><\/P><\/TD><\/TR><\/TBODY><\/TABLE><\/DIV>

<\/FONT> <\/P>

NGH\u1eca \u0110\u1ecaNH<\/FONT><\/H6>

V\u1ec1 x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh <\/FONT><\/B><\/P>

trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n<\/FONT><\/B><\/P>

_________<\/FONT><\/SUP><\/P>

<\/FONT><\/B> <\/P>

CH\u00cdNH PH\u1ee6<\/FONT><\/B><\/P>

C\u0103n c\u1ee9 Lu\u1eadt T\u1ed5 ch\u1ee9c Ch\u00ednh ph\u1ee7 ng\u00e0y 25 th\u00e1ng 12 n\u0103m 2001;<\/FONT><\/P>

C\u0103n c\u1ee9 Lu\u1eadt Ch\u1ee9ng kho\u00e1n ng\u00e0y 29 th\u00e1ng 6 n\u0103m 2006;<\/FONT><\/P>

C\u0103n c\u1ee9 Ph\u00e1p l\u1ec7nh X\u1eed l\u00fd vi ph\u1ea1m h\u00e0nh ch\u00ednh ng\u00e0y 02 th\u00e1ng 7 n\u0103m 2002; Ph\u00e1p l\u1ec7nh s\u1eeda \u0111\u1ed5i, b\u1ed5 sung m\u1ed9t s\u1ed1 \u0111i\u1ec1u c\u1ee7a Ph\u00e1p l\u1ec7nh X\u1eed l\u00fd vi ph\u1ea1m h\u00e0nh ch\u00ednh ng\u00e0y 08 th\u00e1ng 3 n\u0103m 2007 v\u00e0 Ph\u00e1p l\u1ec7nh s\u1eeda \u0111\u1ed5i, b\u1ed5 sung m\u1ed9t s\u1ed1 \u0111i\u1ec1u c\u1ee7a Ph\u00e1p l\u1ec7nh X\u1eed l\u00fd vi ph\u1ea1m h\u00e0nh ch\u00ednh ng\u00e0y 02 th\u00e1ng 4 n\u0103m 2008;<\/FONT><\/P>

X\u00e9t \u0111\u1ec1 ngh\u1ecb c\u1ee7a B\u1ed9 tr\u01b0\u1edfng B\u1ed9 T\u00e0i ch\u00ednh,<\/FONT><\/P>

NGH\u1eca \u0110\u1ecaNH:<\/FONT><\/B><\/P>

 Ch\u01b0\u01a1ng I<\/FONT><\/B><\/P>

QUY \u0110\u1ecaNH CHUNG<\/FONT><\/H6>

\u0110i\u1ec1u 1. Ph\u1ea1m vi \u0111i\u1ec1u ch\u1ec9nh <\/FONT><\/B><\/P>

Ngh\u1ecb \u0111\u1ecbnh n\u00e0y quy \u0111\u1ecbnh v\u1ec1 h\u00e0nh vi vi ph\u1ea1m h\u00e0nh ch\u00ednh, h\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t, m\u1ee9c ph\u1ea1t, th\u1ea9m quy\u1ec1n x\u1eed ph\u1ea1t v\u00e0 th\u1ee7 t\u1ee5c x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n.<\/FONT><\/P>

\u0110i\u1ec1u 2. \u0110\u1ed1i t\u01b0\u1ee3ng \u00e1p d\u1ee5ng<\/FONT><\/B><\/P>

C\u00e1 nh\u00e2n, t\u1ed5 ch\u1ee9c trong n\u01b0\u1edbc v\u00e0 n\u01b0\u1edbc ngo\u00e0i (sau \u0111\u00e2y g\u1ecdi chung l\u00e0 c\u00e1 nh\u00e2n, t\u1ed5 ch\u1ee9c) c\u1ed1 \u00fd ho\u1eb7c v\u00f4 \u00fd vi ph\u1ea1m quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt v\u1ec1 ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n nh\u01b0ng ch\u01b0a \u0111\u1ebfn m\u1ee9c truy c\u1ee9u tr\u00e1ch nhi\u1ec7m h\u00ecnh s\u1ef1 th\u00ec b\u1ecb x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh theo quy \u0111\u1ecbnh t\u1ea1i Ngh\u1ecb \u0111\u1ecbnh n\u00e0y, tr\u1eeb tr\u01b0\u1eddng h\u1ee3p \u0111i\u1ec1u \u01b0\u1edbc qu\u1ed1c t\u1ebf m\u00e0 n\u01b0\u1edbc C\u1ed9ng ho\u00e0 x\u00e3 h\u1ed9i ch\u1ee7 ngh\u0129a Vi\u1ec7t Nam l\u00e0 th\u00e0nh vi\u00ean c\u00f3 quy \u0111\u1ecbnh kh\u00e1c th\u00ec \u00e1p d\u1ee5ng theo quy \u0111\u1ecbnh c\u1ee7a \u0111i\u1ec1u \u01b0\u1edbc qu\u1ed1c t\u1ebf \u0111\u00f3.<\/FONT><\/P>

\u0110i\u1ec1u 3. Nguy\u00ean t\u1eafc x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh<\/FONT><\/B><\/P>

1. M\u1ecdi vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n ph\u1ea3i \u0111\u01b0\u1ee3c ph\u00e1t hi\u1ec7n k\u1ecbp th\u1eddi v\u00e0 ph\u1ea3i b\u1ecb \u0111\u00ecnh ch\u1ec9 ngay. Vi\u1ec7c x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n ph\u1ea3i \u0111\u01b0\u1ee3c ti\u1ebfn h\u00e0nh nhanh ch\u00f3ng, c\u00f4ng minh, tri\u1ec7t \u0111\u1ec3; m\u1ecdi h\u1eadu qu\u1ea3 do vi ph\u1ea1m h\u00e0nh ch\u00ednh g\u00e2y ra ph\u1ea3i \u0111\u01b0\u1ee3c kh\u1eafc ph\u1ee5c theo \u0111\u00fang quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt.<\/FONT><\/P>

2. M\u1ed9t h\u00e0nh vi vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n ch\u1ec9 b\u1ecb x\u1eed ph\u1ea1t h\u00e0nh ch\u00ednh m\u1ed9t l\u1ea7n. T\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n th\u1ef1c hi\u1ec7n nhi\u1ec1u h\u00e0nh vi vi ph\u1ea1m h\u00e0nh ch\u00ednh th\u00ec b\u1ecb x\u1eed ph\u1ea1t v\u1ec1 t\u1eebng h\u00e0nh vi vi ph\u1ea1m.<\/FONT><\/P>

3. Vi\u1ec7c x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n ph\u1ea3i c\u0103n c\u1ee9 v\u00e0o t\u00ednh ch\u1ea5t, m\u1ee9c \u0111\u1ed9 vi ph\u1ea1m v\u00e0 nh\u1eefng t\u00ecnh ti\u1ebft gi\u1ea3m nh\u1eb9, t\u0103ng n\u1eb7ng quy \u0111\u1ecbnh t\u1ea1i c\u00e1c \u0110i\u1ec1u 8 v\u00e0 9 c\u1ee7a Ph\u00e1p l\u1ec7nh X\u1eed l\u00fd vi ph\u1ea1m h\u00e0nh ch\u00ednh \u0111\u1ec3 quy\u1ebft \u0111\u1ecbnh h\u00ecnh th\u1ee9c, bi\u1ec7n ph\u00e1p x\u1eed l\u00fd th\u00edch h\u1ee3p.<\/FONT><\/P>

4. T\u1ed5 ch\u1ee9c b\u1ecb x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh sau khi ch\u1ea5p h\u00e0nh quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t ph\u1ea3i x\u00e1c \u0111\u1ecbnh c\u00e1 nh\u00e2n c\u00f3 l\u1ed7i g\u00e2y ra vi ph\u1ea1m h\u00e0nh ch\u00ednh \u0111\u1ec3 x\u00e1c \u0111\u1ecbnh tr\u00e1ch nhi\u1ec7m ph\u00e1p l\u00fd v\u00e0 ngh\u0129a v\u1ee5 t\u00e0i ch\u00ednh c\u1ee7a ng\u01b0\u1eddi \u0111\u00f3 theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt.<\/FONT><\/P>

5. Vi\u1ec7c x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n do ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n th\u1ef1c hi\u1ec7n theo quy \u0111\u1ecbnh t\u1ea1i Ngh\u1ecb \u0111\u1ecbnh n\u00e0y.<\/FONT><\/P>

\u0110i\u1ec1u 4. Th\u1eddi hi\u1ec7u x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh<\/FONT><\/B><\/P>

1. Th\u1eddi hi\u1ec7u x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n l\u00e0 02 n\u0103m, k\u1ec3 t\u1eeb ng\u00e0y vi ph\u1ea1m. N\u1ebfu qu\u00e1 th\u1eddi h\u1ea1n n\u00eau tr\u00ean th\u00ec kh\u00f4ng b\u1ecb x\u1eed ph\u1ea1t nh\u01b0ng v\u1eabn c\u00f3 th\u1ec3 b\u1ecb \u00e1p d\u1ee5ng c\u00e1c bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3 quy \u0111\u1ecbnh t\u1ea1i Ngh\u1ecb \u0111\u1ecbnh n\u00e0y.<\/FONT><\/P>

2. \u0110\u1ed1i v\u1edbi c\u00e1 nh\u00e2n c\u00f3 h\u00e0nh vi vi ph\u1ea1m ph\u00e1p lu\u1eadt ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n m\u00e0 b\u1ecb kh\u1edfi t\u1ed1, truy t\u1ed1 ho\u1eb7c c\u00f3 quy\u1ebft \u0111\u1ecbnh \u0111\u01b0a v\u1ee5 \u00e1n ra x\u00e9t x\u1eed theo th\u1ee7 t\u1ee5c t\u1ed1 t\u1ee5ng h\u00ecnh s\u1ef1, nh\u01b0ng sau \u0111\u00f3 c\u00f3 quy\u1ebft \u0111\u1ecbnh \u0111\u00ecnh ch\u1ec9 \u0111i\u1ec1u tra ho\u1eb7c \u0111\u00ecnh ch\u1ec9 v\u1ee5 \u00e1n, n\u1ebfu c\u00f3 h\u00e0nh vi vi ph\u1ea1m h\u00e0nh ch\u00ednh th\u00ec b\u1ecb x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh theo quy \u0111\u1ecbnh t\u1ea1i Ngh\u1ecb \u0111\u1ecbnh n\u00e0y. Trong tr\u01b0\u1eddng h\u1ee3p n\u00e0y, th\u1eddi hi\u1ec7u x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh l\u00e0 03 th\u00e1ng, k\u1ec3 t\u1eeb ng\u00e0y ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh nh\u1eadn \u0111\u01b0\u1ee3c quy\u1ebft \u0111\u1ecbnh \u0111\u00ecnh ch\u1ec9 v\u00e0 h\u1ed3 s\u01a1 v\u1ee5 vi ph\u1ea1m.<\/FONT><\/P>

3. Trong th\u1eddi h\u1ea1n quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 1 v\u00e0 2 \u0110i\u1ec1u n\u00e0y m\u00e0 c\u00e1 nh\u00e2n, t\u1ed5 ch\u1ee9c l\u1ea1i th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m m\u1edbi trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n ho\u1eb7c c\u1ed1 t\u00ecnh tr\u1ed1n tr\u00e1nh, c\u1ea3n tr\u1edf vi\u1ec7c x\u1eed ph\u1ea1t th\u00ec kh\u00f4ng \u00e1p d\u1ee5ng th\u1eddi hi\u1ec7u quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 1 v\u00e0 2 \u0110i\u1ec1u n\u00e0y. Th\u1eddi hi\u1ec7u x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh \u0111\u01b0\u1ee3c t\u00ednh k\u1ec3 t\u1eeb th\u1eddi \u0111i\u1ec3m th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m m\u1edbi ho\u1eb7c th\u1eddi \u0111i\u1ec3m ch\u1ea5m d\u1ee9t h\u00e0nh vi tr\u1ed1n tr\u00e1nh, c\u1ea3n tr\u1edf vi\u1ec7c x\u1eed ph\u1ea1t. <\/FONT><\/P>

\u0110i\u1ec1u 5. Th\u1eddi h\u1ea1n \u0111\u01b0\u1ee3c coi l\u00e0 ch\u01b0a b\u1ecb x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh<\/FONT><\/B><\/P>

C\u00e1 nh\u00e2n, t\u1ed5 ch\u1ee9c b\u1ecb x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh, n\u1ebfu sau 01 n\u0103m, k\u1ec3 t\u1eeb ng\u00e0y ch\u1ea5p h\u00e0nh xong quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t ho\u1eb7c t\u1eeb ng\u00e0y h\u1ebft th\u1eddi hi\u1ec7u thi h\u00e0nh quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t m\u00e0 kh\u00f4ng t\u00e1i ph\u1ea1m th\u00ec \u0111\u01b0\u1ee3c coi nh\u01b0 ch\u01b0a b\u1ecb x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh.<\/FONT><\/P>

\u0110i\u1ec1u 6. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh v\u00e0 bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3<\/FONT><\/B><\/P>

1. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t ch\u00ednh: <\/FONT><\/P>

\u0110\u1ed1i v\u1edbi m\u1ed7i vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n, c\u00e1 nh\u00e2n, t\u1ed5 ch\u1ee9c vi ph\u1ea1m ph\u1ea3i ch\u1ecbu m\u1ed9t trong hai h\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t ch\u00ednh sau \u0111\u00e2y:<\/FONT><\/P>

a) C\u1ea3nh c\u00e1o<\/FONT><\/P>

Ph\u1ea1t c\u1ea3nh c\u00e1o \u0111\u01b0\u1ee3c \u00e1p d\u1ee5ng \u0111\u1ed1i v\u1edbi h\u00e0nh vi vi ph\u1ea1m h\u00e0nh ch\u00ednh nh\u1ecf, l\u1ea7n \u0111\u1ea7u, c\u00f3 t\u00ecnh ti\u1ebft gi\u1ea3m nh\u1eb9 v\u00e0 n\u1ebfu Ngh\u1ecb \u0111\u1ecbnh n\u00e0y c\u00f3 quy \u0111\u1ecbnh h\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t c\u1ea3nh c\u00e1o \u0111\u1ed1i v\u1edbi h\u00e0nh vi vi ph\u1ea1m h\u00e0nh ch\u00ednh \u0111\u00f3.<\/FONT><\/P>

b) Ph\u1ea1t ti\u1ec1n<\/FONT><\/P>

M\u1ee9c ph\u1ea1t ti\u1ec1n c\u1ee5 th\u1ec3 \u0111\u1ed1i v\u1edbi m\u1ed9t h\u00e0nh vi vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n l\u00e0 m\u1ee9c trung b\u00ecnh c\u1ee7a khung ph\u1ea1t ti\u1ec1n \u0111\u1ed1i v\u1edbi h\u00e0nh vi \u0111\u00f3. N\u1ebfu vi ph\u1ea1m c\u00f3 t\u00ecnh ti\u1ebft gi\u1ea3m nh\u1eb9 th\u00ec m\u1ee9c ph\u1ea1t c\u00f3 th\u1ec3 gi\u1ea3m th\u1ea5p h\u01a1n nh\u01b0ng kh\u00f4ng \u0111\u01b0\u1ee3c gi\u1ea3m qu\u00e1 m\u1ee9c t\u1ed1i thi\u1ec3u c\u1ee7a khung ph\u1ea1t ti\u1ec1n. N\u1ebfu vi ph\u1ea1m c\u00f3 t\u00ecnh ti\u1ebft t\u0103ng n\u1eb7ng th\u00ec m\u1ee9c ph\u1ea1t c\u00f3 th\u1ec3 t\u0103ng cao h\u01a1n nh\u01b0ng kh\u00f4ng \u0111\u01b0\u1ee3c t\u0103ng qu\u00e1 m\u1ee9c t\u1ed1i \u0111a c\u1ee7a khung ph\u1ea1t ti\u1ec1n. \u0110\u1ed1i v\u1edbi tr\u01b0\u1eddng h\u1ee3p vi ph\u1ea1m h\u00e0nh ch\u00ednh c\u00f3 c\u1ea3 t\u00ecnh ti\u1ebft t\u0103ng n\u1eb7ng l\u1eabn gi\u1ea3m nh\u1eb9 th\u00ec tu\u1ef3 theo t\u00ednh ch\u1ea5t, m\u1ee9c \u0111\u1ed9 c\u1ee7a c\u00e1c t\u00ecnh ti\u1ebft t\u0103ng n\u1eb7ng, gi\u1ea3m nh\u1eb9 m\u00e0 ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n quy\u1ebft \u0111\u1ecbnh \u00e1p d\u1ee5ng m\u1ee9c ph\u1ea1t cao h\u01a1n ho\u1eb7c th\u1ea5p h\u01a1n m\u1ee9c trung b\u00ecnh ho\u1eb7c \u00e1p d\u1ee5ng m\u1ee9c trung b\u00ecnh c\u1ee7a khung h\u00ecnh ph\u1ea1t.   <\/FONT><\/P>

2. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung: <\/FONT><\/P>

T\u00f9y theo t\u00ednh ch\u1ea5t, m\u1ee9c \u0111\u1ed9 vi ph\u1ea1m, c\u00e1 nh\u00e2n, t\u1ed5 ch\u1ee9c vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n c\u00f2n c\u00f3 th\u1ec3 b\u1ecb \u00e1p d\u1ee5ng m\u1ed9t ho\u1eb7c c\u00e1c h\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung sau \u0111\u00e2y:<\/FONT><\/P>

a) T\u1ecbch thu to\u00e0n b\u1ed9 kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m h\u00e0nh ch\u00ednh;<\/FONT><\/P>

b) \u0110\u00ecnh ch\u1ec9 ho\u1eb7c hu\u1ef7 b\u1ecf \u0111\u1ee3t ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang;<\/FONT><\/P>

c) \u0110\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng; thu h\u1ed3i gi\u1ea5y ph\u00e9p, gi\u1ea5y ch\u1ee9ng nh\u1eadn trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n, ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n.<\/FONT><\/P>

3. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3: <\/FONT><\/P>

Ngo\u00e0i c\u00e1c h\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t ch\u00ednh v\u00e0 x\u1eed ph\u1ea1t b\u1ed5 sung quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 1 v\u00e0 2 \u0110i\u1ec1u n\u00e0y, tu\u1ef3 theo t\u00ednh ch\u1ea5t, m\u1ee9c \u0111\u1ed9 vi ph\u1ea1m, c\u00e1 nh\u00e2n, t\u1ed5 ch\u1ee9c vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n c\u00f2n c\u00f3 th\u1ec3 b\u1ecb \u00e1p d\u1ee5ng bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3 quy \u0111\u1ecbnh c\u1ee5 th\u1ec3 t\u1ea1i c\u00e1c \u0111i\u1ec1u c\u1ee7a Ch\u01b0\u01a1ng II Ngh\u1ecb \u0111\u1ecbnh n\u00e0y.<\/FONT> <\/FONT><\/STRONG><\/FONT><\/FONT><\/P>

Ch\u01b0\u01a1ng II<\/FONT><\/B><\/P>

H\u00c0NH VI VI PH\u1ea0M H\u00c0NH CH\u00cdNH, H\u00ccNH TH\u1ee8C V\u00c0 M\u1ee8C X\u1eec PH\u1ea0T<\/FONT><\/B><\/P>

 M\u1ee5c 1<\/FONT><\/B><\/P>

H\u00c0NH VI VI PH\u1ea0M QUY \u0110\u1ecaNH V\u1ec0 HO\u1ea0T \u0110\u1ed8NG CH\u00c0O B\u00c1N<\/FONT><\/B><\/P>

CH\u1ee8NG KHO\u00c1N RA C\u00d4NG CH\u00daNG<\/FONT><\/B><\/P>

\u0110i\u1ec1u 7. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 h\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang<\/B><\/FONT><\/P>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 50.000.000 \u0111\u1ed3ng \u0111\u1ebfn 70.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh, t\u1ed5 ch\u1ee9c b\u1ea3o l\u00e3nh ph\u00e1t h\u00e0nh, t\u1ed5 ch\u1ee9c t\u01b0 v\u1ea5n ph\u00e1t h\u00e0nh; c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n x\u00e1c nh\u1eadn h\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang c\u00f3 th\u00f4ng tin sai l\u1ec7ch ho\u1eb7c kh\u00f4ng s\u1eeda \u0111\u1ed5i, b\u1ed5 sung h\u1ed3 s\u01a1 khi ph\u00e1t hi\u1ec7n th\u00f4ng tin kh\u00f4ng ch\u00ednh x\u00e1c ho\u1eb7c b\u1ecf s\u00f3t n\u1ed9i dung quan tr\u1ecdng theo quy \u0111\u1ecbnh ph\u1ea3i c\u00f3 trong h\u1ed3 s\u01a1.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n t\u1eeb 150.000.000 \u0111\u1ed3ng \u0111\u1ebfn 200.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh, t\u1ed5 ch\u1ee9c b\u1ea3o l\u00e3nh ph\u00e1t h\u00e0nh, t\u1ed5 ch\u1ee9c t\u01b0 v\u1ea5n ph\u00e1t h\u00e0nh; c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n x\u00e1c nh\u1eadn h\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang c\u00f3 th\u00f4ng tin c\u1ed1 \u00fd l\u00e0m sai s\u1ef1 th\u1eadt ho\u1eb7c che gi\u1ea5u s\u1ef1 th\u1eadt.<\/FONT><\/P>

3. Ph\u1ea1t ti\u1ec1n t\u1eeb 1% \u0111\u1ebfn 5% t\u1ed5ng s\u1ed1 ti\u1ec1n \u0111\u00e3 huy \u0111\u1ed9ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh l\u1eadp, x\u00e1c nh\u1eadn h\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang c\u00f3 s\u1ef1 gi\u1ea3 m\u1ea1o theo quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 1 \u0110i\u1ec1u 121 Lu\u1eadt Ch\u1ee9ng kho\u00e1n. <\/FONT><\/P>

4. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung:<\/FONT><\/P>

a) \u0110\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang trong th\u1eddi h\u1ea1n t\u1ed1i \u0111a 60 ng\u00e0y \u0111\u1ec3 kh\u1eafc ph\u1ee5c \u0111\u1ed1i v\u1edbi tr\u01b0\u1eddng h\u1ee3p vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 1 \u0110i\u1ec1u n\u00e0y;<\/FONT><\/P>

b) Bu\u1ed9c hu\u1ef7 b\u1ecf \u0111\u1ee3t ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang n\u1ebfu sau th\u1eddi h\u1ea1n \u0111\u00ecnh ch\u1ec9 quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m a kho\u1ea3n n\u00e0y m\u00e0 v\u1eabn kh\u00f4ng kh\u1eafc ph\u1ee5c \u0111\u01b0\u1ee3c vi ph\u1ea1m;<\/FONT><\/P>

c) Thu h\u1ed3i Gi\u1ea5y ch\u1ee9ng nh\u1eadn ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang \u0111\u1ed1i v\u1edbi tr\u01b0\u1eddng h\u1ee3p vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 2 v\u00e0 3 \u0110i\u1ec1u n\u00e0y; <\/FONT><\/P>

d) T\u1ecbch thu to\u00e0n b\u1ed9 kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 2 v\u00e0 3 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P>

5. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3:<\/FONT><\/P>

 T\u1ed5 ch\u1ee9c ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang ph\u1ea3i thu h\u1ed3i ch\u1ee9ng kho\u00e1n \u0111\u00e3 ch\u00e0o b\u00e1n, ho\u00e0n tr\u1ea3 cho nh\u00e0 \u0111\u1ea7u t\u01b0 ti\u1ec1n mua ch\u1ee9ng kho\u00e1n ho\u1eb7c ti\u1ec1n \u0111\u1eb7t c\u1ecdc (n\u1ebfu c\u00f3) c\u1ed9ng th\u00eam ti\u1ec1n l\u00e3i t\u00ednh theo l\u00e3i su\u1ea5t ti\u1ec1n g\u1eedi kh\u00f4ng k\u1ef3 h\u1ea1n c\u1ee7a ng\u00e2n h\u00e0ng m\u00e0 t\u1ed5 ch\u1ee9c ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n m\u1edf t\u00e0i kho\u1ea3n thu ti\u1ec1n mua ch\u1ee9ng kho\u00e1n ho\u1eb7c ti\u1ec1n \u0111\u1eb7t c\u1ecdc<\/FONT><\/FONT> t\u1ea1i th\u1eddi \u0111i\u1ec3m b\u1ecb x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh, trong th\u1eddi h\u1ea1n 30 ng\u00e0y, k\u1ec3 t\u1eeb ng\u00e0y nh\u1eadn \u0111\u01b0\u1ee3c y\u00eau c\u1ea7u c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0.<\/FONT><\/P>

\u0110i\u1ec1u 8. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 th\u1ef1c hi\u1ec7n ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang<\/FONT><\/B><\/P>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 50.000.000 \u0111\u1ed3ng \u0111\u1ebfn 70.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Kh\u00f4ng th\u1ef1c hi\u1ec7n c\u00f4ng b\u1ed1 b\u1ea3n th\u00f4ng b\u00e1o ph\u00e1t h\u00e0nh theo quy \u0111\u1ecbnh; th\u00f4ng b\u00e1o ph\u00e1t h\u00e0nh tr\u00ean c\u00e1c ph\u01b0\u01a1ng ti\u1ec7n th\u00f4ng tin \u0111\u1ea1i ch\u00fang kh\u00f4ng \u0111\u00fang n\u1ed9i dung v\u00e0 th\u1eddi gian theo quy \u0111\u1ecbnh;<\/FONT><\/FONT><\/P>

b) Th\u1ef1c hi\u1ec7n kh\u00f4ng \u0111\u00fang quy \u0111\u1ecbnh v\u1ec1 vi\u1ec7c s\u1eed d\u1ee5ng t\u00e0i kho\u1ea3n phong to\u1ea3 s\u1ed1 ti\u1ec1n thu \u0111\u01b0\u1ee3c t\u1eeb \u0111\u1ee3t ch\u00e0o b\u00e1n.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n t\u1eeb 70.000.000 \u0111\u1ed3ng \u0111\u1ebfn 100.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh, t\u1ed5 ch\u1ee9c b\u1ea3o l\u00e3nh ph\u00e1t h\u00e0nh, t\u1ed5 ch\u1ee9c t\u01b0 v\u1ea5n ph\u00e1t h\u00e0nh th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) S\u1eed d\u1ee5ng th\u00f4ng tin ngo\u00e0i B\u1ea3n c\u00e1o b\u1ea1ch \u0111\u1ec3 th\u0103m d\u00f2 th\u1ecb tr\u01b0\u1eddng tr\u01b0\u1edbc khi \u0111\u01b0\u1ee3c ph\u00e9p th\u1ef1c hi\u1ec7n ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang; th\u1ef1c hi\u1ec7n th\u0103m d\u00f2 th\u1ecb tr\u01b0\u1eddng tr\u00ean c\u00e1c ph\u01b0\u01a1ng ti\u1ec7n th\u00f4ng tin \u0111\u1ea1i ch\u00fang;<\/FONT><\/P>

b) Ph\u00e2n ph\u1ed1i ch\u1ee9ng kho\u00e1n kh\u00f4ng \u0111\u00fang n\u1ed9i dung c\u1ee7a \u0111\u0103ng k\u00fd ch\u00e0o b\u00e1n v\u1ec1 lo\u1ea1i ch\u1ee9ng kho\u00e1n, kh\u1ed1i l\u01b0\u1ee3ng, th\u1eddi h\u1ea1n \u0111\u0103ng k\u00fd mua ch\u1ee9ng kho\u00e1n, th\u1eddi h\u1ea1n ph\u00e2n ph\u1ed1i theo quy \u0111\u1ecbnh.<\/FONT><\/P>

3. Ph\u1ea1t ti\u1ec1n t\u1eeb 100.000.000 \u0111\u1ed3ng \u0111\u1ebfn 120.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Th\u1ef1c hi\u1ec7n ph\u00e1t h\u00e0nh th\u00eam ch\u1ee9ng kho\u00e1n nh\u01b0ng kh\u00f4ng b\u00e1o c\u00e1o ho\u1eb7c \u0111\u00e3 b\u00e1o c\u00e1o nh\u01b0ng ch\u01b0a c\u00f3 \u00fd ki\u1ebfn ch\u1ea5p thu\u1eadn c\u1ee7a \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc;<\/FONT><\/P>

b) Th\u1ef1c hi\u1ec7n ph\u00e1t h\u00e0nh th\u00eam ch\u1ee9ng kho\u00e1n khi ch\u01b0a \u0111\u00e1p \u1ee9ng c\u00e1c \u0111i\u1ec1u ki\u1ec7n theo quy \u0111\u1ecbnh.<\/FONT><\/P>

4. Ph\u1ea1t ti\u1ec1n t\u1eeb 200.000.000 \u0111\u1ed3ng \u0111\u1ebfn 300.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Th\u1ef1c hi\u1ec7n ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang khi ch\u01b0a \u0111\u00e1p \u1ee9ng \u0111\u1ee7 \u0111i\u1ec1u ki\u1ec7n theo quy \u0111\u1ecbnh; <\/FONT><\/P>

b) Ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang \u0111\u1ec3 th\u00e0nh l\u1eadp doanh nghi\u1ec7p, tr\u1eeb tr\u01b0\u1eddng h\u1ee3p \u0111\u01b0\u1ee3c ph\u00e1p lu\u1eadt quy \u0111\u1ecbnh;<\/FONT><\/P>

c) Th\u1ef1c hi\u1ec7n ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang nh\u01b0ng kh\u00f4ng \u0111\u0103ng k\u00fd v\u1edbi \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc theo quy \u0111\u1ecbnh.<\/FONT><\/P>

5. Ph\u1ea1t ti\u1ec1n t\u1eeb m\u1ed9t \u0111\u1ebfn n\u0103m l\u1ea7n kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt \u0111\u1ed1i v\u1edbi c\u00e1 nh\u00e2n, t\u1ed5 ch\u1ee9c th\u1ef1c hi\u1ec7n ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang khi ch\u01b0a c\u00f3 Gi\u1ea5y ch\u1ee9ng nh\u1eadn ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang theo quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 3 \u0110i\u1ec1u 121 Lu\u1eadt Ch\u1ee9ng kho\u00e1n.<\/FONT><\/P>

6. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung:<\/FONT><\/P>

a) \u0110\u00ecnh ch\u1ec9 \u0111\u1ee3t ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang trong th\u1eddi h\u1ea1n t\u1ed1i \u0111a 60 ng\u00e0y \u0111\u1ec3 kh\u1eafc ph\u1ee5c \u0111\u1ed1i v\u1edbi tr\u01b0\u1eddng h\u1ee3p vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m b kho\u1ea3n 2 \u0110i\u1ec1u n\u00e0y;<\/SPAN><\/FONT><\/FONT><\/P>

b) Bu\u1ed9c hu\u1ef7 b\u1ecf \u0111\u1ee3t ch\u00e0o b\u00e1n, ph\u00e1t h\u00e0nh th\u00eam \u0111\u1ed1i v\u1edbi tr\u01b0\u1eddng h\u1ee3p vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 3, 4 v\u00e0 5 \u0110i\u1ec1u n\u00e0y v\u00e0 tr\u01b0\u1eddng h\u1ee3p b\u1ecb \u0111\u00ecnh ch\u1ec9 theo quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m a kho\u1ea3n n\u00e0y m\u00e0 kh\u00f4ng kh\u1eafc ph\u1ee5c \u0111\u01b0\u1ee3c vi ph\u1ea1m;<\/FONT><\/P>

c) T\u1ecbch thu to\u00e0n b\u1ed9 kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 4 v\u00e0 5 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P>

7. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3:<\/FONT><\/P>

T\u1ed5 ch\u1ee9c ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang ph\u1ea3i thu h\u1ed3i ch\u1ee9ng kho\u00e1n \u0111\u00e3 ch\u00e0o b\u00e1n, ho\u00e0n tr\u1ea3 cho nh\u00e0 \u0111\u1ea7u t\u01b0 ti\u1ec1n mua ch\u1ee9ng kho\u00e1n ho\u1eb7c ti\u1ec1n \u0111\u1eb7t c\u1ecdc (n\u1ebfu c\u00f3) c\u1ed9ng th\u00eam ti\u1ec1n l\u00e3i t\u00ednh theo l\u00e3i su\u1ea5t ti\u1ec1n g\u1eedi kh\u00f4ng k\u1ef3 h\u1ea1n c\u1ee7a ng\u00e2n h\u00e0ng m\u00e0 t\u1ed5 ch\u1ee9c ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n m\u1edf t\u00e0i kho\u1ea3n thu ti\u1ec1n mua ch\u1ee9ng kho\u00e1n ho\u1eb7c ti\u1ec1n \u0111\u1eb7t c\u1ecdc t\u1ea1i th\u1eddi \u0111i\u1ec3m b\u1ecb x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh, trong th\u1eddi h\u1ea1n 30 ng\u00e0y, k\u1ec3 t\u1eeb ng\u00e0y nh\u1eadn \u0111\u01b0\u1ee3c y\u00eau c\u1ea7u c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0. <\/FONT><\/P>

M\u1ee5c 2<\/FONT><\/B><\/P>

H\u00c0NH VI VI PH\u1ea0M QUY \u0110\u1ecaNH V\u1ec0 C\u00d4NG TY \u0110\u1ea0I CH\u00daNG<\/FONT><\/B><\/P>

\u0110i\u1ec1u 9. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 h\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd c\u00f4ng ty \u0111\u1ea1i ch\u00fang<\/FONT><\/B><\/FONT><\/P>

1. Ph\u1ea1t c\u1ea3nh c\u00e1o \u0111\u1ed1i v\u1edbi c\u00f4ng ty \u0111\u1ea1i ch\u00fang n\u1ed9p h\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd c\u00f4ng ty \u0111\u1ea1i ch\u00fang qu\u00e1 th\u1eddi h\u1ea1n \u0111\u1ebfn 01 th\u00e1ng so v\u1edbi quy \u0111\u1ecbnh.<\/FONT><\/P>

2. <\/I>Ph\u1ea1t ti\u1ec1n t\u1eeb 5.000.000 \u0111\u1ed3ng \u0111\u1ebfn 10.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty \u0111\u1ea1i ch\u00fang n\u1ed9p h\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd c\u00f4ng ty \u0111\u1ea1i ch\u00fang qu\u00e1 th\u1eddi h\u1ea1n t\u1eeb tr\u00ean 01 th\u00e1ng \u0111\u1ebfn 12 th\u00e1ng.<\/FONT><\/P>

3. Ph\u1ea1t ti\u1ec1n t\u1eeb 30.000.000 \u0111\u1ed3ng \u0111\u1ebfn 50.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty \u0111\u1ea1i ch\u00fang th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:    <\/FONT><\/P>

a) Kh\u00f4ng n\u1ed9p ho\u1eb7c n\u1ed9p h\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd c\u00f4ng ty \u0111\u1ea1i ch\u00fang qu\u00e1 th\u1eddi h\u1ea1n quy \u0111\u1ecbnh tr\u00ean 12 th\u00e1ng;<\/FONT><\/P>

b) H\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd c\u00f4ng ty \u0111\u1ea1i ch\u00fang c\u00f3 th\u00f4ng tin sai l\u1ec7ch.<\/FONT><\/P>

4. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3:<\/FONT><\/P>

a) Bu\u1ed9c ch\u1ea5p h\u00e0nh \u0111\u00fang quy \u0111\u1ecbnh v\u1ec1 \u0111\u0103ng k\u00fd c\u00f4ng ty \u0111\u1ea1i ch\u00fang;<\/FONT><\/P>

b) Bu\u1ed9c hu\u1ef7 b\u1ecf, c\u1ea3i ch\u00ednh th\u00f4ng tin \u0111\u1ed1i v\u1edbi tr\u01b0\u1eddng h\u1ee3p vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m b kho\u1ea3n 3 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P>

\u0110i\u1ec1u 10. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 ngh\u0129a v\u1ee5 c\u00f4ng ty \u0111\u1ea1i ch\u00fang<\/FONT><\/B><\/FONT><\/P>

1. Ph\u1ea1t c\u1ea3nh c\u00e1o ho\u1eb7c ph\u1ea1t ti\u1ec1n t\u1eeb 5.000.000 \u0111\u1ed3ng \u0111\u1ebfn 10.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty \u0111\u1ea1i ch\u00fang kh\u00f4ng tu\u00e2n th\u1ee7 c\u00e1c quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1ec1 qu\u1ea3n tr\u1ecb c\u00f4ng ty. <\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n 20.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty \u0111\u1ea1i ch\u00fang th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:    <\/FONT><\/P>

a) Kh\u00f4ng th\u1ef1c hi\u1ec7n ki\u1ec3m to\u00e1n b\u00e1o c\u00e1o t\u00e0i ch\u00ednh n\u0103m;<\/FONT><\/P>

b) Kh\u00f4ng \u0111\u0103ng k\u00fd ch\u1ee9ng kho\u00e1n t\u1eadp trung t\u1ea1i Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n;  <\/FONT><\/P>

c) Th\u1ef1c hi\u1ec7n \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n kh\u00f4ng \u0111\u00fang v\u1edbi quy \u0111\u1ecbnh v\u1ec1 \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n t\u1ea1i Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n \u0111\u1ec3 x\u1ea3y ra khi\u1ebfu ki\u1ec7n.<\/FONT><\/P>

3. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3:<\/FONT><\/P>

Bu\u1ed9c ch\u1ea5p h\u00e0nh \u0111\u00fang quy \u0111\u1ecbnh v\u1ec1 ngh\u0129a v\u1ee5 c\u00f4ng ty \u0111\u1ea1i ch\u00fang.<\/FONT><\/P>

M\u1ee5c 3<\/FONT><\/B><\/P>

H\u00c0NH VI VI PH\u1ea0M QUY \u0110\u1ecaNH V\u1ec0 NI\u00caM Y\u1ebeT CH\u1ee8NG KHO\u00c1N<\/FONT><\/B><\/P>

\u0110i\u1ec1u 11. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 ni\u00eam y\u1ebft ch\u1ee9ng kho\u00e1n t\u1ea1i S\u1edf Giao d\u1ecbch ch\u1ee9ng kho\u00e1n <\/FONT><\/B><\/P>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 50.000.000 \u0111\u1ed3ng \u0111\u1ebfn 70.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, t\u1ed5 ch\u1ee9c t\u01b0 v\u1ea5n ni\u00eam y\u1ebft; c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n x\u00e1c nh\u1eadn h\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd ni\u00eam y\u1ebft th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau: <\/FONT><\/P>

a) X\u00e1c nh\u1eadn h\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd ni\u00eam y\u1ebft c\u00f3 th\u00f4ng tin sai l\u1ec7ch<\/FONT> ho\u1eb7c kh\u00f4ng s\u1eeda \u0111\u1ed5i, b\u1ed5 sung h\u1ed3 s\u01a1 khi ph\u00e1t hi\u1ec7n th\u00f4ng tin kh\u00f4ng ch\u00ednh x\u00e1c ho\u1eb7c b\u1ecf s\u00f3t n\u1ed9i dung quan tr\u1ecdng theo quy \u0111\u1ecbnh ph\u1ea3i c\u00f3 trong h\u1ed3 s\u01a1;<\/FONT><\/FONT><\/FONT><\/P>

b) T\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft thay \u0111\u1ed5i s\u1ed1 l\u01b0\u1ee3ng c\u1ed5 phi\u1ebfu nh\u01b0ng kh\u00f4ng l\u00e0m th\u1ee7 t\u1ee5c thay \u0111\u1ed5i \u0111\u0103ng k\u00fd ni\u00eam y\u1ebft b\u1ed5 sung.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n t\u1eeb 150.000.000 \u0111\u1ed3ng \u0111\u1ebfn 200.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, t\u1ed5 ch\u1ee9c t\u01b0 v\u1ea5n ni\u00eam y\u1ebft; c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n x\u00e1c nh\u1eadn h\u1ed3 s\u01a1 ni\u00eam y\u1ebft c\u00f3 th\u00f4ng tin c\u1ed1 \u00fd l\u00e0m sai s\u1ef1 th\u1eadt ho\u1eb7c che gi\u1ea5u s\u1ef1 th\u1eadt.<\/FONT><\/P>

3. Ph\u1ea1t ti\u1ec1n 500.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, t\u1ed5 ch\u1ee9c t\u01b0 v\u1ea5n ni\u00eam y\u1ebft; c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n l\u1eadp, x\u00e1c nh\u1eadn h\u1ed3 s\u01a1 gi\u1ea3 m\u1ea1o \u0111\u1ec3 ni\u00eam y\u1ebft ch\u1ee9ng kho\u00e1n.<\/FONT><\/P>

4. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung:<\/FONT><\/P>

Bu\u1ed9c hu\u1ef7 b\u1ecf ni\u00eam y\u1ebft \u0111\u1ed1i v\u1edbi tr\u01b0\u1eddng h\u1ee3p vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 2 v\u00e0 3 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P>

5. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3: <\/FONT><\/P>

Bu\u1ed9c hu\u1ef7 b\u1ecf, c\u1ea3i ch\u00ednh th\u00f4ng tin.<\/FONT><\/P>

M\u1ee5c 4<\/FONT><\/B><\/P>

H\u00c0NH VI VI PH\u1ea0M QUY \u0110\u1ecaNH V\u1ec0 T\u1ed4 CH\u1ee8C<\/FONT><\/B><\/P>

TH\u1eca TR\u01af\u1edcNG GIAO D\u1ecaCH CH\u1ee8NG KHO\u00c1N<\/FONT><\/B><\/P>

\u0110i\u1ec1u 12. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 t\u1ed5 ch\u1ee9c th\u1ecb tr\u01b0\u1eddng giao d\u1ecbch ch\u1ee9ng kho\u00e1n<\/B><\/FONT><\/P>

1. Ph\u1ea1t ti\u1ec1n 500.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n t\u1ed5 ch\u1ee9c th\u1ecb tr\u01b0\u1eddng giao d\u1ecbch ch\u1ee9ng kho\u00e1n tr\u00e1i v\u1edbi quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt trong tr\u01b0\u1eddng h\u1ee3p kh\u00f4ng c\u00f3 kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt. <\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n t\u1eeb m\u1ed9t \u0111\u1ebfn n\u0103m l\u1ea7n kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt theo quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 1 \u0110i\u1ec1u 124 Lu\u1eadt Ch\u1ee9ng kho\u00e1n \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n t\u1ed5 ch\u1ee9c th\u1ecb tr\u01b0\u1eddng giao d\u1ecbch ch\u1ee9ng kho\u00e1n tr\u00e1i v\u1edbi quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt trong tr\u01b0\u1eddng h\u1ee3p c\u00f3 kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt nh\u01b0ng m\u1ee9c ph\u1ea1t kh\u00f4ng th\u1ea5p h\u01a1n m\u1ee9c ph\u1ea1t quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 1 \u0110i\u1ec1u n\u00e0y. <\/FONT><\/P>

3. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung:<\/FONT><\/P>

a) Bu\u1ed9c hu\u1ef7 b\u1ecf vi\u1ec7c t\u1ed5 ch\u1ee9c th\u1ecb tr\u01b0\u1eddng giao d\u1ecbch tr\u00e1i ph\u00e1p lu\u1eadt;<\/FONT><\/P>

b) T\u1ecbch thu to\u00e0n b\u1ed9 kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 2 \u0110i\u1ec1u n\u00e0y;<\/FONT><\/P>

c) \u0110\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng; thu h\u1ed3i gi\u1ea5y ph\u00e9p, gi\u1ea5y ch\u1ee9ng nh\u1eadn, ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P>

\u0110i\u1ec1u 13. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 qu\u1ea3n l\u00fd ni\u00eam y\u1ebft c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n <\/B><\/FONT><\/P>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 70.000.000 \u0111\u1ed3ng \u0111\u1ebfn 90.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n kh\u00f4ng ph\u00e1t hi\u1ec7n \u0111\u01b0\u1ee3c ho\u1eb7c kh\u00f4ng x\u1eed l\u00fd k\u1ecbp th\u1eddi nh\u1eefng tr\u01b0\u1eddng h\u1ee3p t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft kh\u00f4ng duy tr\u00ec \u0111\u1ea7y \u0111\u1ee7 \u0111i\u1ec1u ki\u1ec7n ni\u00eam y\u1ebft theo quy \u0111\u1ecbnh; kh\u00f4ng c\u1ea3nh b\u00e1o, c\u00f4ng b\u1ed1 th\u00f4ng tin theo quy \u0111\u1ecbnh g\u00e2y \u1ea3nh h\u01b0\u1edfng \u0111\u1ebfn gi\u00e1 ch\u1ee9ng kho\u00e1n tr\u00ean th\u1ecb tr\u01b0\u1eddng.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n 100.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n ch\u1ea5p thu\u1eadn ho\u1eb7c hu\u1ef7 b\u1ecf ni\u00eam y\u1ebft kh\u00f4ng \u0111\u00fang quy \u0111\u1ecbnh.<\/FONT><\/P>

3. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3: <\/FONT><\/P>

Bu\u1ed9c ch\u1ea5p h\u00e0nh \u0111\u00fang quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1ec1 qu\u1ea3n l\u00fd ni\u00eam y\u1ebft c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/FONT><\/P>

\u0110i\u1ec1u 14. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 qu\u1ea3n l\u00fd th\u00e0nh vi\u00ean c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n <\/FONT><\/B><\/FONT><\/P>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 70.000.000 \u0111\u1ed3ng \u0111\u1ebfn 90.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n kh\u00f4ng ph\u00e1t hi\u1ec7n \u0111\u01b0\u1ee3c nh\u1eefng tr\u01b0\u1eddng h\u1ee3p th\u00e0nh vi\u00ean giao d\u1ecbch kh\u00f4ng duy tr\u00ec \u0111\u1ea7y \u0111\u1ee7 c\u00e1c \u0111i\u1ec1u ki\u1ec7n v\u1ec1 th\u00e0nh vi\u00ean ho\u1eb7c kh\u00f4ng tu\u00e2n th\u1ee7 \u0111\u1ea7y \u0111\u1ee7 c\u00e1c quy \u0111\u1ecbnh v\u1ec1 ngh\u0129a v\u1ee5 c\u1ee7a th\u00e0nh vi\u00ean theo quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 2 v\u00e0 4 \u0110i\u1ec1u 39 c\u1ee7a Lu\u1eadt Ch\u1ee9ng kho\u00e1n.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n 100.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n ch\u1ea5p thu\u1eadn ho\u1eb7c hu\u1ef7 b\u1ecf t\u01b0 c\u00e1ch th\u00e0nh vi\u00ean c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n kh\u00f4ng \u0111\u00fang quy \u0111\u1ecbnh.<\/FONT><\/P>

3. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3:<\/FONT> <\/FONT><\/U><\/FONT><\/FONT><\/P>

Bu\u1ed9c ch\u1ea5p h\u00e0nh \u0111\u00fang quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1ec1 qu\u1ea3n l\u00fd th\u00e0nh vi\u00ean c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/FONT><\/P>

\u0110i\u1ec1u 15. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 giao d\u1ecbch, gi\u00e1m s\u00e1t v\u00e0 c\u00f4ng b\u1ed1 th\u00f4ng tin c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n <\/FONT><\/B><\/P>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 100.000.000 \u0111\u1ed3ng \u0111\u1ebfn 120.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) T\u1ed5 ch\u1ee9c giao d\u1ecbch lo\u1ea1i ch\u1ee9ng kho\u00e1n m\u1edbi, thay \u0111\u1ed5i v\u00e0 \u00e1p d\u1ee5ng ph\u01b0\u01a1ng th\u1ee9c giao d\u1ecbch m\u1edbi, \u0111\u01b0a v\u00e0o v\u1eadn h\u00e0nh h\u1ec7 th\u1ed1ng giao d\u1ecbch m\u1edbi khi ch\u01b0a \u0111\u01b0\u1ee3c ch\u1ea5p thu\u1eadn c\u1ee7a \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc;<\/FONT><\/P>

b) Kh\u00f4ng ph\u00e1t hi\u1ec7n \u0111\u01b0\u1ee3c, kh\u00f4ng x\u1eed l\u00fd k\u1ecbp th\u1eddi c\u00e1c h\u00e0nh vi vi ph\u1ea1m quy ch\u1ebf giao d\u1ecbch ho\u1eb7c kh\u00f4ng ch\u1ea5p h\u00e0nh \u0111\u00fang quy tr\u00ecnh gi\u00e1m s\u00e1t c\u00e1c ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch theo quy \u0111\u1ecbnh \u0111\u1ec3 x\u1ea3y ra vi ph\u1ea1m, \u1ea3nh h\u01b0\u1edfng \u0111\u1ebfn t\u00ednh c\u00f4ng b\u1eb1ng, c\u00f4ng khai, minh b\u1ea1ch c\u1ee7a th\u1ecb tr\u01b0\u1eddng;<\/FONT><\/P>

c) Kh\u00f4ng t\u1ea1m ng\u1eebng, \u0111\u00ecnh ch\u1ec9 ho\u1eb7c hu\u1ef7 b\u1ecf giao d\u1ecbch ch\u1ee9ng kho\u00e1n theo Quy ch\u1ebf giao d\u1ecbch c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n trong tr\u01b0\u1eddng h\u1ee3p c\u1ea7n thi\u1ebft \u0111\u1ec3 b\u1ea3o v\u1ec7 nh\u00e0 \u0111\u1ea7u t\u01b0; kh\u00f4ng k\u1ecbp th\u1eddi c\u1ea3nh b\u00e1o ho\u1eb7c kh\u00f4ng c\u00f4ng b\u1ed1 th\u00f4ng tin v\u1ec1 nh\u1eefng bi\u1ebfn \u0111\u1ed9ng c\u00f3 \u1ea3nh h\u01b0\u1edfng nghi\u00eam tr\u1ecdng tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n theo quy \u0111\u1ecbnh.<\/FONT><\/P>

2. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3: <\/FONT><\/P>

Bu\u1ed9c ch\u1ea5p h\u00e0nh \u0111\u00fang quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1ec1 giao d\u1ecbch, gi\u00e1m s\u00e1t v\u00e0 c\u00f4ng b\u1ed1 th\u00f4ng tin c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/FONT><\/P>

\u0110i\u1ec1u 16. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 \u0111\u0103ng k\u00fd giao d\u1ecbch ch\u1ee9ng kho\u00e1n <\/FONT><\/B><\/P>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 30.000.000 \u0111\u1ed3ng \u0111\u1ebfn 50.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Kh\u00f4ng cung c\u1ea5p \u0111\u1ea7y \u0111\u1ee7, k\u1ecbp th\u1eddi, ch\u00ednh x\u00e1c th\u00f4ng tin cho kh\u00e1ch h\u00e0ng v\u1ec1 ch\u1ee9ng kho\u00e1n \u0111\u0103ng k\u00fd giao d\u1ecbch, t\u1ed5 ch\u1ee9c \u0111\u0103ng k\u00fd giao d\u1ecbch v\u00e0 t\u00ecnh h\u00ecnh giao d\u1ecbch theo quy \u0111\u1ecbnh;<\/FONT><\/P>

b) Kh\u00f4ng th\u01b0\u1eddng xuy\u00ean c\u1eadp nh\u1eadt th\u00f4ng tin v\u1ec1 ch\u1ee9ng kho\u00e1n giao d\u1ecbch, v\u1ec1 t\u1ed5 ch\u1ee9c \u0111\u0103ng k\u00fd giao d\u1ecbch, v\u1ec1 c\u00e1c th\u00f4ng tin c\u00f4ng b\u1ed1 c\u1ee7a c\u01a1 quan qu\u1ea3n l\u00fd v\u00e0 v\u1ec1 c\u00e1c quy \u0111\u1ecbnh li\u00ean quan \u0111\u1ebfn giao d\u1ecbch c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n tr\u00ean c\u00e1c ph\u01b0\u01a1ng ti\u1ec7n c\u00f4ng b\u1ed1 th\u00f4ng tin theo quy \u0111\u1ecbnh;<\/FONT><\/P>

c) Kh\u00f4ng ch\u1ea5p h\u00e0nh \u0111\u1ea7y \u0111\u1ee7 ngh\u0129a v\u1ee5 b\u00e1o c\u00e1o v\u00e0 c\u00f4ng b\u1ed1 th\u00f4ng tin v\u1ec1 giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u0103ng k\u00fd t\u1ea1i S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n theo quy \u0111\u1ecbnh.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n t\u1eeb 50.000.000 \u0111\u1ed3ng \u0111\u1ebfn 70.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c \u0111\u0103ng k\u00fd giao d\u1ecbch, c\u00f4ng ty ch\u1ee9ng kho\u00e1n; c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n li\u00ean quan \u0111\u1ebfn vi\u1ec7c l\u1eadp, x\u00e1c nh\u1eadn h\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd giao d\u1ecbch c\u00f3 th\u00f4ng tin sai l\u1ec7ch.<\/FONT><\/P>

3. Ph\u1ea1t ti\u1ec1n t\u1eeb 150.000.000 \u0111\u1ed3ng \u0111\u1ebfn 200.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c \u0111\u0103ng k\u00fd giao d\u1ecbch, c\u00f4ng ty ch\u1ee9ng kho\u00e1n; c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n li\u00ean quan \u0111\u1ebfn vi\u1ec7c l\u1eadp, x\u00e1c nh\u1eadn h\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd giao d\u1ecbch c\u00f3 th\u00f4ng tin c\u1ed1 \u00fd l\u00e0m sai s\u1ef1 th\u1eadt ho\u1eb7c che gi\u1ea5u s\u1ef1 th\u1eadt.<\/FONT><\/P>

4. Ph\u1ea1t ti\u1ec1n t\u1eeb 400.000.000 \u0111\u1ed3ng \u0111\u1ebfn 500.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c \u0111\u0103ng k\u00fd giao d\u1ecbch, c\u00f4ng ty ch\u1ee9ng kho\u00e1n; c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n li\u00ean quan \u0111\u1ebfn vi\u1ec7c l\u1eadp, x\u00e1c nh\u1eadn h\u1ed3 s\u01a1 gi\u1ea3 m\u1ea1o \u0111\u1ec3 \u0111\u0103ng k\u00fd giao d\u1ecbch ch\u1ee9ng kho\u00e1n. <\/FONT><\/P>

5. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung:<\/FONT><\/P>

Bu\u1ed9c hu\u1ef7 b\u1ecf \u0111\u0103ng k\u00fd giao d\u1ecbch \u0111\u1ed1i v\u1edbi tr\u01b0\u1eddng h\u1ee3p vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 3 v\u00e0 4 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P>

6. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3: <\/FONT><\/P>

Bu\u1ed9c hu\u1ef7 b\u1ecf, c\u1ea3i ch\u00ednh th\u00f4ng tin.<\/FONT><\/P>

M\u1ee5c 5<\/FONT><\/P>

H\u00c0NH VI VI PH\u1ea0M QUY \u0110\u1ecaNH V\u1ec0 HO\u1ea0T \u0110\u1ed8NG KINH DOANH CH\u1ee8NG KHO\u00c1N <\/FONT><\/B><\/P>

V\u00c0 CH\u1ee8NG CH\u1ec8 H\u00c0NH NGH\u1ec0 CH\u1ee8NG KHO\u00c1N<\/FONT><\/B><\/P>

\u0110i\u1ec1u 17. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 Gi\u1ea5y ph\u00e9p th\u00e0nh l\u1eadp v\u00e0 ho\u1ea1t \u0111\u1ed9ng <\/FONT><\/B><\/P><\/SPAN><\/SPAN>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 5.000.000 \u0111\u1ed3ng \u0111\u1ebfn 10.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n; chi nh\u00e1nh c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 n\u01b0\u1edbc ngo\u00e0i t\u1ea1i Vi\u1ec7t Nam s\u1eed d\u1ee5ng t\u00ean g\u1ecdi c\u1ee7a c\u00f4ng ty, chi nh\u00e1nh, v\u0103n ph\u00f2ng \u0111\u1ea1i di\u1ec7n, ph\u00f2ng giao d\u1ecbch kh\u00f4ng \u0111\u00fang quy \u0111\u1ecbnh; thay \u0111\u1ed5i t\u00ean, \u0111\u1ecba \u0111i\u1ec3m \u0111\u1eb7t tr\u1ee5 s\u1edf ch\u00ednh, chi nh\u00e1nh, v\u0103n ph\u00f2ng \u0111\u1ea1i di\u1ec7n, ph\u00f2ng giao d\u1ecbch khi ch\u01b0a \u0111\u01b0\u1ee3c ch\u1ea5p thu\u1eadn; kh\u00f4ng th\u1ef1c hi\u1ec7n \u0111\u00f3ng \u0111\u1ea1i l\u00fd nh\u1eadn l\u1ec7nh theo quy \u0111\u1ecbnh.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n  50.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n; chi nh\u00e1nh c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 n\u01b0\u1edbc ngo\u00e0i t\u1ea1i Vi\u1ec7t Nam th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) T\u1ed5 ch\u1ee9c khai tr\u01b0\u01a1ng ho\u1ea1t \u0111\u1ed9ng khi ch\u01b0a \u0111\u00e1p \u1ee9ng \u0111\u1ea7y \u0111\u1ee7 c\u00e1c \u0111i\u1ec1u ki\u1ec7n theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt;<\/FONT><\/P><\/SPAN>

b) Th\u00e0nh l\u1eadp, \u0111\u00f3ng c\u1eeda chi nh\u00e1nh, v\u0103n ph\u00f2ng \u0111\u1ea1i di\u1ec7n, ph\u00f2ng giao d\u1ecbch khi ch\u01b0a \u0111\u01b0\u1ee3c s\u1ef1 ch\u1ea5p thu\u1eadn.<\/FONT><\/P>

3. Ph\u1ea1t ti\u1ec1n 70.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n vi\u1ec7c chia, t\u00e1ch, s\u00e1p nh\u1eadp, h\u1ee3p nh\u1ea5t, chuy\u1ec3n \u0111\u1ed5i c\u00f4ng ty, gi\u1ea3i th\u1ec3 tr\u01b0\u1edbc th\u1eddi h\u1ea1n, t\u1ea1m ng\u1eebng ho\u1ea1t \u0111\u1ed9ng khi ch\u01b0a \u0111\u01b0\u1ee3c ch\u1ea5p thu\u1eadn, tr\u1eeb tr\u01b0\u1eddng h\u1ee3p ph\u00e1p lu\u1eadt quy \u0111\u1ecbnh kh\u00e1c.<\/FONT><\/P>

4. Ph\u1ea1t ti\u1ec1n t\u1eeb 70.000.000 \u0111\u1ed3ng \u0111\u1ebfn 100.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n; chi nh\u00e1nh c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 n\u01b0\u1edbc ngo\u00e0i t\u1ea1i Vi\u1ec7t Nam v\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau: <\/FONT><\/P>

a) Ho\u1ea1t \u0111\u1ed9ng kinh doanh ch\u1ee9ng kho\u00e1n, cung c\u1ea5p d\u1ecbch v\u1ee5 ch\u1ee9ng kho\u00e1n khi ch\u01b0a \u0111\u01b0\u1ee3c c\u1ea5p gi\u1ea5y ph\u00e9p ho\u1eb7c ch\u01b0a \u0111\u01b0\u1ee3c ch\u1ea5p thu\u1eadn;<\/FONT><\/P>

b) Cho m\u01b0\u1ee3n, cho thu\u00ea ho\u1eb7c chuy\u1ec3n nh\u01b0\u1ee3ng gi\u1ea5y ph\u00e9p;<\/FONT><\/P>

c) Ho\u1ea1t \u0111\u1ed9ng kh\u00f4ng \u0111\u00fang n\u1ed9i dung quy \u0111\u1ecbnh trong gi\u1ea5y ph\u00e9p;<\/FONT><\/P>

d) T\u1ea9y xo\u00e1, s\u1eeda ch\u1eefa gi\u1ea5y ph\u00e9p;<\/FONT><\/P>

\u0111) L\u1eadp, x\u00e1c nh\u1eadn h\u1ed3 s\u01a1 \u0111\u1ec1 ngh\u1ecb c\u1ea5p, b\u1ed5 sung gi\u1ea5y ph\u00e9p th\u00e0nh l\u1eadp v\u00e0 ho\u1ea1t \u0111\u1ed9ng c\u00f3 th\u00f4ng tin sai l\u1ec7ch.<\/FONT><\/P>

5. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung:<\/FONT><\/P>

a) T\u1ecbch thu to\u00e0n b\u1ed9 kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m a kho\u1ea3n 2 v\u00e0 kho\u1ea3n 4 \u0110i\u1ec1u n\u00e0y;<\/FONT><\/P>

b) \u0110\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng trong th\u1eddi h\u1ea1n t\u1ed1i \u0111a 60 ng\u00e0y \u0111\u1ed1i v\u1edbi tr\u01b0\u1eddng h\u1ee3p vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c \u0111i\u1ec3m c v\u00e0 \u0111 kho\u1ea3n 4 \u0110i\u1ec1u n\u00e0y;<\/FONT><\/P>

c) Thu h\u1ed3i gi\u1ea5y ph\u00e9p th\u00e0nh l\u1eadp v\u00e0 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, chi nh\u00e1nh c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 n\u01b0\u1edbc ngo\u00e0i t\u1ea1i Vi\u1ec7t Nam \u0111\u1ed1i v\u1edbi tr\u01b0\u1eddng h\u1ee3p vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c \u0111i\u1ec3m b, d kho\u1ea3n 4 \u0110i\u1ec1u n\u00e0y v\u00e0 \u0111\u1ed1i v\u1edbi tr\u01b0\u1eddng h\u1ee3p vi ph\u1ea1m b\u1ecb \u0111\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m b kho\u1ea3n n\u00e0y m\u00e0 v\u1eabn kh\u00f4ng kh\u1eafc ph\u1ee5c \u0111\u01b0\u1ee3c vi ph\u1ea1m.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 18. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n<\/FONT><\/B><\/P><\/SPAN>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 10.000.000 \u0111\u1ed3ng \u0111\u1ebfn 30.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n m\u1ed9t trong nh\u1eefng h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Nh\u1eadn l\u1ec7nh c\u1ee7a kh\u00e1ch h\u00e0ng kh\u00f4ng \u0111\u00fang quy \u0111\u1ecbnh; kh\u00f4ng l\u01b0u gi\u1eef \u0111\u1ea7y \u0111\u1ee7 b\u1eb1ng ch\u1ee9ng ch\u1ee9ng minh v\u1ec1 vi\u1ec7c \u0111\u1eb7t l\u1ec7nh c\u1ee7a kh\u00e1ch h\u00e0ng; <\/FONT><\/P>

b) Kh\u00f4ng k\u00fd k\u1ebft h\u1ee3p \u0111\u1ed3ng b\u1eb1ng v\u0103n b\u1ea3n v\u1edbi kh\u00e1ch h\u00e0ng khi cung c\u1ea5p d\u1ecbch v\u1ee5 cho kh\u00e1ch h\u00e0ng;<\/FONT><\/P>

c) Kh\u00f4ng ban h\u00e0nh \u0111\u1ea7y \u0111\u1ee7 c\u00e1c quy tr\u00ecnh nghi\u1ec7p v\u1ee5; kh\u00f4ng tu\u00e2n th\u1ee7 c\u00e1c quy tr\u00ecnh nghi\u1ec7p v\u1ee5 theo quy \u0111\u1ecbnh;<\/FONT><\/P>

d) Kh\u00f4ng tu\u00e2n th\u1ee7 c\u00e1c quy \u0111\u1ecbnh v\u1ec1 qu\u1ea3n tr\u1ecb c\u00f4ng ty theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n t\u1eeb 30.000.000 \u0111\u1ed3ng \u0111\u1ebfn 50.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Kh\u00f4ng t\u1ed5 ch\u1ee9c t\u00ecm hi\u1ec3u thu th\u1eadp \u0111\u1ea7y \u0111\u1ee7 th\u00f4ng tin v\u1ec1 t\u00ecnh h\u00ecnh t\u00e0i ch\u00ednh, m\u1ee5c ti\u00eau \u0111\u1ea7u t\u01b0, kh\u1ea3 n\u0103ng ch\u1ea5p nh\u1eadn r\u1ee7i ro c\u1ee7a kh\u00e1ch h\u00e0ng; c\u00e1c khuy\u1ebfn ngh\u1ecb, t\u01b0 v\u1ea5n \u0111\u1ea7u t\u01b0 c\u1ee7a c\u00f4ng ty cho kh\u00e1ch h\u00e0ng kh\u00f4ng \u0111\u1ea3m b\u1ea3o ph\u00f9 h\u1ee3p v\u1edbi ti\u00eau th\u1ee9c \u0111\u00e1nh gi\u00e1, ph\u00e2n lo\u1ea1i kh\u00e1ch h\u00e0ng v\u1ec1 kh\u1ea3 n\u0103ng ch\u1ea5p nh\u1eadn r\u1ee7i ro tr\u1eeb tr\u01b0\u1eddng h\u1ee3p kh\u00e1ch h\u00e0ng kh\u00f4ng cung c\u1ea5p \u0111\u1ea7y \u0111\u1ee7 th\u00f4ng tin; kh\u00f4ng cung c\u1ea5p \u0111\u1ea7y \u0111\u1ee7, trung th\u1ef1c th\u00f4ng tin cho kh\u00e1ch h\u00e0ng;<\/FONT><\/P>

b) \u0110\u01b0a ra nh\u1eadn \u0111\u1ecbnh ho\u1eb7c \u0111\u1ea3m b\u1ea3o v\u1edbi kh\u00e1ch h\u00e0ng v\u1ec1 m\u1ee9c thu nh\u1eadp ho\u1eb7c l\u1ee3i nhu\u1eadn \u0111\u1ea1t \u0111\u01b0\u1ee3c tr\u00ean kho\u1ea3n \u0111\u1ea7u t\u01b0 c\u1ee7a kh\u00e1ch h\u00e0ng ho\u1eb7c b\u1ea3o \u0111\u1ea3m kh\u00e1ch h\u00e0ng kh\u00f4ng b\u1ecb thua l\u1ed7; quy\u1ebft \u0111\u1ecbnh \u0111\u1ea7u t\u01b0 thay cho kh\u00e1ch h\u00e0ng, tr\u1eeb tr\u01b0\u1eddng h\u1ee3p \u0111\u01b0\u1ee3c ph\u00e1p lu\u1eadt quy \u0111\u1ecbnh;<\/FONT><\/P>

c) T\u1ed5 ch\u1ee9c l\u01b0u gi\u1eef kh\u00f4ng \u0111\u1ea7y \u0111\u1ee7 ch\u1ee9ng t\u1eeb; kh\u00f4ng ph\u1ea3n \u00e1nh chi ti\u1ebft, ch\u00ednh x\u00e1c c\u00e1c giao d\u1ecbch c\u1ee7a kh\u00e1ch h\u00e0ng v\u00e0 c\u1ee7a c\u00f4ng ty theo quy \u0111\u1ecbnh.<\/FONT><\/P>

3. Ph\u1ea1t ti\u1ec1n t\u1eeb 50.000.000 \u0111\u1ed3ng \u0111\u1ebfn 70.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Kh\u00f4ng t\u1ed5 ch\u1ee9c qu\u1ea3n l\u00fd t\u00e1ch bi\u1ec7t ch\u1ee9ng kho\u00e1n c\u1ee7a t\u1eebng nh\u00e0 \u0111\u1ea7u t\u01b0, t\u00e1ch bi\u1ec7t ti\u1ec1n v\u00e0 ch\u1ee9ng kho\u00e1n c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 v\u1edbi ti\u1ec1n v\u00e0 ch\u1ee9ng kho\u00e1n c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n theo quy \u0111\u1ecbnh; tr\u1ef1c ti\u1ebfp nh\u1eadn ti\u1ec1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng;<\/FONT><\/P>

b) Th\u1ef1c hi\u1ec7n l\u1ec7nh c\u1ee7a kh\u00e1ch h\u00e0ng khi kh\u00e1ch h\u00e0ng kh\u00f4ng c\u00f3 \u0111\u1ee7 ti\u1ec1n v\u00e0 ch\u1ee9ng kho\u00e1n theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt, tr\u1eeb tr\u01b0\u1eddng h\u1ee3p ph\u00e1p lu\u1eadt quy \u0111\u1ecbnh kh\u00e1c;<\/FONT><\/P>

c) Kh\u00f4ng mua b\u1ea3o hi\u1ec3m tr\u00e1ch nhi\u1ec7m ngh\u1ec1 nghi\u1ec7p cho nghi\u1ec7p v\u1ee5 kinh doanh ch\u1ee9ng kho\u00e1n t\u1ea1i c\u00f4ng ty v\u00e0 tr\u00edch l\u1eadp \u0111\u1ea7y \u0111\u1ee7 qu\u1ef9 b\u1ea3o v\u1ec7 nh\u00e0 \u0111\u1ea7u t\u01b0 \u0111\u1ec3 b\u1ed3i th\u01b0\u1eddng thi\u1ec7t h\u1ea1i cho nh\u00e0 \u0111\u1ea7u t\u01b0 do s\u1ef1 c\u1ed1 k\u1ef9 thu\u1eadt v\u00e0 s\u01a1 su\u1ea5t c\u1ee7a nh\u00e2n vi\u00ean c\u00f4ng ty ch\u1ee9ng kho\u00e1n g\u00e2y ra;<\/FONT><\/P>

d) Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 \u0111i\u1ec1u ki\u1ec7n v\u00e0 h\u1ea1n ch\u1ebf b\u1ea3o l\u00e3nh ph\u00e1t h\u00e0nh ch\u1ee9ng kho\u00e1n;<\/FONT><\/P>

\u0111) Ti\u1ebft l\u1ed9 th\u00f4ng tin kh\u00e1ch h\u00e0ng, tr\u1eeb tr\u01b0\u1eddng h\u1ee3p \u0111\u01b0\u1ee3c ph\u00e1p lu\u1eadt quy \u0111\u1ecbnh ho\u1eb7c theo y\u00eau c\u1ea7u c\u1ee7a c\u01a1 quan qu\u1ea3n l\u00fd nh\u00e0 n\u01b0\u1edbc;<\/FONT><\/P>

e) Th\u1ef1c hi\u1ec7n nh\u1eefng h\u00e0nh vi l\u00e0m cho kh\u00e1ch h\u00e0ng v\u00e0 nh\u00e0 \u0111\u1ea7u t\u01b0 hi\u1ec3u nh\u1ea7m v\u1ec1 gi\u00e1 ch\u1ee9ng kho\u00e1n. <\/FONT><\/P>

4. Ph\u1ea1t ti\u1ec1n t\u1eeb 70.000.000 \u0111\u1ed3ng \u0111\u1ebfn 100.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Kh\u00f4ng t\u1ed5 ch\u1ee9c, thi\u1ebft l\u1eadp h\u1ec7 th\u1ed1ng ki\u1ec3m so\u00e1t n\u1ed9i b\u1ed9, qu\u1ea3n tr\u1ecb r\u1ee7i ro; kh\u00f4ng gi\u00e1m s\u00e1t, ng\u0103n ng\u1eeba xung \u0111\u1ed9t l\u1ee3i \u00edch trong n\u1ed9i b\u1ed9 c\u00f4ng ty v\u00e0 trong giao d\u1ecbch v\u1edbi ng\u01b0\u1eddi c\u00f3 li\u00ean quan theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt;<\/FONT><\/P>

b) Kh\u00f4ng th\u1ef1c hi\u1ec7n nguy\u00ean t\u1eafc \u01b0u ti\u00ean th\u1ef1c hi\u1ec7n l\u1ec7nh c\u1ee7a kh\u00e1ch h\u00e0ng tr\u01b0\u1edbc l\u1ec7nh c\u1ee7a ch\u00ednh c\u00f4ng ty ch\u1ee9ng kho\u00e1n; l\u00e0m tr\u00e1i l\u1ec7nh c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0;<\/FONT><\/P>

c) Kh\u00f4ng tu\u00e2n th\u1ee7 quy \u0111\u1ecbnh v\u1ec1 h\u1ea1n m\u1ee9c vay c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n;<\/FONT><\/P>

d) \u0110\u1ea7u t\u01b0 ho\u1eb7c tham gia g\u00f3p v\u1ed1n kh\u00f4ng \u0111\u00fang quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt;<\/FONT><\/P>

\u0111) Th\u1ef1c hi\u1ec7n t\u0103ng, gi\u1ea3m v\u1ed1n \u0111i\u1ec1u l\u1ec7 kh\u00f4ng \u0111\u00fang quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt;<\/FONT><\/P>

e) Th\u1ef1c hi\u1ec7n giao d\u1ecbch l\u00e0m thay \u0111\u1ed5i quy\u1ec1n s\u1edf h\u1eefu c\u1ed5 ph\u1ea7n ho\u1eb7c ph\u1ea7n v\u1ed1n g\u00f3p kh\u00f4ng \u0111\u00fang quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt.<\/FONT><\/P>

5. Ph\u1ea1t ti\u1ec1n t\u1eeb 100.000.000 \u0111\u1ed3ng \u0111\u1ebfn 150.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau: <\/FONT><\/P>

a) Th\u1ef1c hi\u1ec7n vi\u1ec7c b\u00e1n ho\u1eb7c cho kh\u00e1ch h\u00e0ng b\u00e1n ch\u1ee9ng kho\u00e1n khi kh\u00f4ng s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n ho\u1eb7c cho kh\u00e1ch h\u00e0ng vay ch\u1ee9ng kho\u00e1n tr\u1eeb tr\u01b0\u1eddng h\u1ee3p ph\u00e1p lu\u1eadt quy \u0111\u1ecbnh kh\u00e1c;<\/FONT><\/P>

<\/SPAN>b) S\u1eed d\u1ee5ng v\u1ed1n, t\u00e0i s\u1ea3n c\u1ee7a c\u00f4ng ty \u0111\u1ec3 cho vay tr\u00e1i quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt.<\/FONT><\/P>

6. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung:<\/FONT><\/P>

a) \u0110\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng trong th\u1eddi h\u1ea1n t\u1ed1i \u0111a 60 ng\u00e0y \u0111\u1ed1i v\u1edbi tr\u01b0\u1eddng h\u1ee3p vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m a kho\u1ea3n 3, c\u00e1c \u0111i\u1ec3m b, d, \u0111 kho\u1ea3n 4 v\u00e0 kho\u1ea3n 5 \u0110i\u1ec1u n\u00e0y;<\/FONT><\/P>

b) Thu h\u1ed3i gi\u1ea5y ph\u00e9p th\u00e0nh l\u1eadp v\u00e0 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n n\u1ebfu sau th\u1eddi h\u1ea1n \u0111\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m a kho\u1ea3n n\u00e0y v\u1eabn kh\u00f4ng kh\u1eafc ph\u1ee5c \u0111\u01b0\u1ee3c vi ph\u1ea1m;<\/FONT><\/P>

c) T\u1ecbch thu to\u00e0n b\u1ed9 kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 4 v\u00e0 5 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P>

7. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3:<\/FONT><\/P>

Bu\u1ed9c ch\u1ea5p h\u00e0nh \u0111\u00fang quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1ec1 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 19. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 <\/FONT><\/B><\/P><\/SPAN>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 5.000.000 \u0111\u1ed3ng \u0111\u1ebfn 10.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c \u0111i\u1ec3m b, c v\u00e0 d kho\u1ea3n 1 \u0110i\u1ec1u 18 Ngh\u1ecb \u0111\u1ecbnh n\u00e0y; <\/FONT><\/P>

b) Kh\u00f4ng \u0111\u1ea3m b\u1ea3o s\u1ef1 t\u00e1ch bi\u1ec7t v\u1ec1 t\u1ed5 ch\u1ee9c v\u00e0 ho\u1ea1t \u0111\u1ed9ng, ph\u00e2n quy\u1ec1n c\u1ee7a h\u1ec7 th\u1ed1ng c\u00f4ng ngh\u1ec7 th\u00f4ng tin v\u00e0 h\u1ec7 th\u1ed1ng b\u00e1o c\u00e1o gi\u1eefa ho\u1ea1t \u0111\u1ed9ng qu\u1ea3n l\u00fd t\u00e0i s\u1ea3n v\u1edbi c\u00e1c ho\u1ea1t \u0111\u1ed9ng kinh doanh kh\u00e1c c\u1ee7a ch\u00ednh c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00e1c ho\u1ea1t \u0111\u1ed9ng kinh doanh c\u1ee7a c\u00e1c t\u1ed5 ch\u1ee9c kh\u00e1c l\u00e0 ng\u01b0\u1eddi c\u00f3 li\u00ean quan;<\/FONT><\/P>

c) Kh\u00f4ng cung c\u1ea5p th\u00f4ng tin k\u1ecbp th\u1eddi, \u0111\u1ea7y \u0111\u1ee7, trung th\u1ef1c cho ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t theo quy \u0111\u1ecbnh.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n t\u1eeb 30.000.000 \u0111\u1ed3ng \u0111\u1ebfn 50.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 2 \u0110i\u1ec1u 18 Ngh\u1ecb \u0111\u1ecbnh n\u00e0y; <\/FONT><\/P>

b) Kh\u00f4ng tu\u00e2n th\u1ee7 \u0111i\u1ec1u l\u1ec7 qu\u1ef9, h\u1ee3p \u0111\u1ed3ng qu\u1ea3n l\u00fd danh m\u1ee5c \u0111\u1ea7u t\u01b0 g\u00e2y thi\u1ec7t h\u1ea1i cho nh\u00e0 \u0111\u1ea7u t\u01b0;<\/FONT><\/P>

c) Kh\u00f4ng c\u00f3 bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c \u0111\u1ec3 \u0111i\u1ec1u ch\u1ec9nh m\u1ee9c v\u1ed1n kh\u1ea3 d\u1ee5ng theo quy \u0111\u1ecbnh.<\/FONT><\/P>

3. Ph\u1ea1t ti\u1ec1n t\u1eeb 50.000.000 \u0111\u1ed3ng \u0111\u1ebfn 70.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c \u0111i\u1ec3m \u0111 v\u00e0 e kho\u1ea3n 3 \u0110i\u1ec1u 18 Ngh\u1ecb \u0111\u1ecbnh n\u00e0y; <\/FONT><\/P>

b) Kh\u00f4ng ph\u00e2n b\u1ed5 t\u00e0i s\u1ea3n giao d\u1ecbch theo \u0111\u00fang quy \u0111\u1ecbnh khi th\u1ef1c hi\u1ec7n giao d\u1ecbch cho qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, nh\u00e0 \u0111\u1ea7u t\u01b0 u\u1ef7 th\u00e1c v\u00e0 b\u1ea3n th\u00e2n c\u00f4ng ty;<\/FONT><\/P>

c) Y\u00eau c\u1ea7u, \u0111\u00f2i h\u1ecfi ho\u1eb7c ti\u1ebfp nh\u1eadn d\u01b0\u1edbi danh ngh\u0129a c\u00e1 nh\u00e2n ho\u1eb7c danh ngh\u0129a c\u00f4ng ty b\u1ea5t k\u1ef3 m\u1ed9t kho\u1ea3n l\u1ee3i \u00edch n\u00e0o t\u1eeb vi\u1ec7c th\u1ef1c hi\u1ec7n giao d\u1ecbch t\u00e0i s\u1ea3n qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, nh\u00e0 \u0111\u1ea7u t\u01b0 \u1ee7y th\u00e1c ngo\u00e0i c\u00e1c kho\u1ea3n ph\u00ed, l\u1ec7 ph\u00ed theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt; <\/FONT><\/P>

d) L\u00e0 \u0111\u1ed1i t\u00e1c mua, b\u00e1n trong giao d\u1ecbch t\u00e0i s\u1ea3n \u1ee7y th\u00e1c \u0111\u1ea7u t\u01b0 tr\u00e1i quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt;<\/FONT><\/P>

\u0111) Kh\u00f4ng tu\u00e2n th\u1ee7 t\u1ef7 l\u1ec7 \u0111\u1ea7u t\u01b0 ho\u1eb7c kh\u00f4ng th\u1ef1c hi\u1ec7n vi\u1ec7c \u0111i\u1ec1u ch\u1ec9nh l\u1ea1i danh m\u1ee5c \u0111\u1ea7u t\u01b0 theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt;<\/FONT><\/P>

e) Kh\u00f4ng th\u1ef1c hi\u1ec7n l\u01b0u k\u00fd v\u00e0 qu\u1ea3n l\u00fd t\u00e1ch bi\u1ec7t t\u00e0i s\u1ea3n v\u00e0 v\u1ed1n c\u1ee7a t\u1eebng nh\u00e0 \u0111\u1ea7u t\u01b0 \u1ee7y th\u00e1c, c\u1ee7a t\u1eebng qu\u1ef9, c\u1ee7a t\u1eebng c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n do c\u00f4ng ty qu\u1ea3n l\u00fd v\u00e0 t\u00e0i s\u1ea3n c\u1ee7a c\u00f4ng ty tr\u00ean c\u00e1c t\u00e0i kho\u1ea3n, ti\u1ec3u kho\u1ea3n \u0111\u1ed9c l\u1eadp.<\/FONT><\/P>

4. Ph\u1ea1t ti\u1ec1n t\u1eeb 70.000.000 \u0111\u1ed3ng \u0111\u1ebfn 100.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Kh\u00f4ng th\u1ef1c hi\u1ec7n \u0111\u00fang quy tr\u00ecnh, \u0111\u1ecbnh gi\u00e1 sai gi\u00e1 c\u1ee7a ch\u1ee9ng ch\u1ec9 qu\u1ef9, gi\u00e1 tr\u1ecb t\u00e0i s\u1ea3n r\u00f2ng, gi\u00e1 tr\u1ecb danh m\u1ee5c \u0111\u1ea7u t\u01b0 c\u1ee7a qu\u1ef9, c\u1ee7a c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 \u1ee7y th\u00e1c nh\u1eb1m duy tr\u00ec \u1ed5n \u0111\u1ecbnh gi\u00e1 ch\u1ee9ng ch\u1ec9, gi\u00e1 tr\u1ecb danh m\u1ee5c \u0111\u1ea7u t\u01b0 tr\u00ean th\u1ecb tr\u01b0\u1eddng;<\/FONT><\/P>

b) Th\u1ef1c hi\u1ec7n giao d\u1ecbch l\u00e0m thay \u0111\u1ed5i quy\u1ec1n s\u1edf h\u1eefu c\u1ed5 ph\u1ea7n, ph\u1ea7n v\u1ed1n g\u00f3p, th\u1ef1c hi\u1ec7n t\u0103ng, gi\u1ea3m v\u1ed1n \u0111i\u1ec1u l\u1ec7 kh\u00f4ng \u0111\u00fang quy \u0111\u1ecbnh;<\/FONT><\/P>

c) Kh\u00f4ng tu\u00e2n th\u1ee7 c\u00e1c quy \u0111\u1ecbnh v\u1ec1 h\u1ea1n ch\u1ebf \u0111\u1ed1i v\u1edbi ho\u1ea1t \u0111\u1ed9ng c\u1ee7a c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, ng\u01b0\u1eddi c\u00f3 li\u00ean quan c\u1ee7a c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 v\u00e0 nh\u00e2n vi\u00ean l\u00e0m vi\u1ec7c t\u1ea1i c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9;<\/FONT><\/P>

d) Th\u1ef1c hi\u1ec7n vi\u1ec7c \u0111i vay \u0111\u1ec3 t\u00e0i tr\u1ee3 cho ho\u1ea1t \u0111\u1ed9ng c\u1ee7a qu\u1ef9 \u0111\u1ea7u t\u01b0 tr\u00e1i v\u1edbi quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt.<\/FONT><\/P>

5. Ph\u1ea1t ti\u1ec1n t\u1eeb 100.000.000 \u0111\u1ed3ng \u0111\u1ebfn 150.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) S\u1eed d\u1ee5ng t\u00e0i s\u1ea3n c\u1ee7a qu\u1ef9 \u0111\u1ea7u t\u01b0, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n \u0111\u1ec3 \u0111\u1ea7u t\u01b0 v\u00e0o ch\u00ednh qu\u1ef9 \u0111\u1ea7u t\u01b0, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n \u0111\u00f3 ho\u1eb7c c\u00e1c qu\u1ef9 \u0111\u1ea7u t\u01b0, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n kh\u00e1c th\u00e0nh l\u1eadp v\u00e0 ho\u1ea1t \u0111\u1ed9ng t\u1ea1i Vi\u1ec7t Nam ho\u1eb7c g\u00f3p v\u1ed1n li\u00ean doanh, li\u00ean k\u1ebft ho\u1eb7c \u0111\u1ea7u t\u01b0 t\u00e0i ch\u00ednh v\u00e0o ch\u00ednh c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 v\u00e0 ng\u01b0\u1eddi c\u00f3 li\u00ean quan c\u1ee7a c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9;<\/FONT><\/P>

b) S\u1eed d\u1ee5ng ngu\u1ed3n v\u1ed1n kh\u00f4ng \u0111\u00fang quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt \u0111\u1ec3 \u0111\u1ea7u t\u01b0 t\u00e0i ch\u00ednh, mua c\u1ed5 phi\u1ebfu, tr\u00e1i phi\u1ebfu, tham gia g\u00f3p v\u1ed1n th\u00e0nh l\u1eadp doanh nghi\u1ec7p, n\u1eafm gi\u1eef c\u1ed5 ph\u1ea7n; vay ho\u1eb7c cho vay tr\u00e1i quy \u0111\u1ecbnh;<\/FONT><\/P>

c) S\u1eed d\u1ee5ng t\u00e0i s\u1ea3n c\u1ee7a qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, t\u00e0i s\u1ea3n u\u1ef7 th\u00e1c \u0111\u1ec3 thanh to\u00e1n c\u00e1c ngh\u0129a v\u1ee5 n\u1ee3, cho vay ho\u1eb7c b\u1ea3o l\u00e3nh b\u1ea5t k\u1ef3 kho\u1ea3n vay n\u00e0o c\u1ee7a c\u00f4ng ty, ng\u01b0\u1eddi c\u00f3 li\u00ean quan c\u1ee7a c\u00f4ng ty ho\u1eb7c b\u1ea5t k\u1ef3 \u0111\u1ed1i t\u00e1c n\u00e0o;<\/FONT><\/P>

d) Th\u1ef1c hi\u1ec7n vi\u1ec7c cho vay ho\u1eb7c giao v\u1ed1n c\u1ee7a c\u00f4ng ty cho c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n l\u00e0 ng\u01b0\u1eddi c\u00f3 li\u00ean quan qu\u1ea3n l\u00fd;<\/FONT><\/P>

\u0111) C\u1ed1 \u00fd th\u1ef1c hi\u1ec7n h\u00e0nh vi tr\u1ed1n tr\u00e1nh ngh\u0129a v\u1ee5 ph\u00e1p l\u00fd, h\u1ea1n ch\u1ebf ph\u1ea1m vi b\u1ed3i th\u01b0\u1eddng, tr\u00e1ch nhi\u1ec7m t\u00e0i ch\u00ednh c\u1ee7a c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, chuy\u1ec3n r\u1ee7i ro t\u1eeb c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 sang nh\u00e0 \u0111\u1ea7u t\u01b0 ho\u1eb7c bu\u1ed9c nh\u00e0 \u0111\u1ea7u t\u01b0 th\u1ef1c hi\u1ec7n ngh\u0129a v\u1ee5 b\u1ed3i th\u01b0\u1eddng m\u1ed9t c\u00e1ch kh\u00f4ng c\u00f4ng b\u1eb1ng. <\/FONT><\/P>

6. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung:<\/FONT><\/P>

a) \u0110\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng trong th\u1eddi h\u1ea1n t\u1ed1i \u0111a 60 ng\u00e0y \u0111\u1ed1i v\u1edbi tr\u01b0\u1eddng h\u1ee3p vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 4 v\u00e0 5 \u0110i\u1ec1u n\u00e0y;<\/FONT><\/P>

b) Thu h\u1ed3i gi\u1ea5y ph\u00e9p th\u00e0nh l\u1eadp v\u00e0 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 n\u1ebfu sau th\u1eddi h\u1ea1n \u0111\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m a kho\u1ea3n n\u00e0y v\u1eabn kh\u00f4ng kh\u1eafc ph\u1ee5c \u0111\u01b0\u1ee3c vi ph\u1ea1m;<\/FONT><\/P>

c) T\u1ecbch thu to\u00e0n b\u1ed9 kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c \u0111i\u1ec3m c, d v\u00e0 \u0111 kho\u1ea3n 3, kho\u1ea3n 4 v\u00e0 kho\u1ea3n 5 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P>

7. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3:<\/FONT><\/P>

Bu\u1ed9c ch\u1ea5p h\u00e0nh \u0111\u00fang quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1ec1 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 20. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 v\u0103n ph\u00f2ng \u0111\u1ea1i di\u1ec7n c\u1ee7a t\u1ed5 ch\u1ee9c kinh doanh ch\u1ee9ng kho\u00e1n <\/FONT><\/B><\/P><\/SPAN>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 10.000.000 \u0111\u1ed3ng \u0111\u1ebfn 30.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n kh\u00f4ng th\u1ef1c hi\u1ec7n c\u00e1c th\u1ee7 t\u1ee5c \u0111i\u1ec1u ch\u1ec9nh, s\u1eeda \u0111\u1ed5i, b\u1ed5 sung, c\u1ea5p l\u1ea1i Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng, ch\u1ea5m d\u1ee9t ho\u1ea1t \u0111\u1ed9ng v\u0103n ph\u00f2ng \u0111\u1ea1i di\u1ec7n theo quy \u0111\u1ecbnh.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n t\u1eeb 50.000.000 \u0111\u1ed3ng \u0111\u1ebfn 70.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi sau \u0111\u00e2y:<\/FONT><\/P>

a) H\u1ed3 s\u01a1 \u0111\u1ec1 ngh\u1ecb c\u1ea5p Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng v\u0103n ph\u00f2ng \u0111\u1ea1i di\u1ec7n c\u00f3 th\u00f4ng tin sai l\u1ec7ch;<\/FONT><\/P>

b) Ho\u1ea1t \u0111\u1ed9ng v\u0103n ph\u00f2ng \u0111\u1ea1i di\u1ec7n khi ch\u01b0a \u0111\u00e1p \u1ee9ng \u0111\u1ea7y \u0111\u1ee7 \u0111i\u1ec1u ki\u1ec7n theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt, kh\u00f4ng \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng theo quy \u0111\u1ecbnh ho\u1eb7c ho\u1ea1t \u0111\u1ed9ng khi ch\u01b0a \u0111\u01b0\u1ee3c c\u1ea5p Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng v\u0103n ph\u00f2ng \u0111\u1ea1i di\u1ec7n;<\/FONT><\/P>

c) Ho\u1ea1t \u0111\u1ed9ng sai m\u1ee5c \u0111\u00edch; ho\u1ea1t \u0111\u1ed9ng kh\u00f4ng \u0111\u00fang n\u1ed9i dung trong Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng;<\/FONT><\/P>

d) T\u1ea9y xo\u00e1, s\u1eeda ch\u1eefa c\u00e1c n\u1ed9i dung trong Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng v\u0103n ph\u00f2ng \u0111\u1ea1i di\u1ec7n, l\u00e0m \u0111\u1ea1i di\u1ec7n cho t\u1ed5 ch\u1ee9c kh\u00e1c, th\u1ef1c hi\u1ec7n chuy\u1ec3n nh\u01b0\u1ee3ng Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng v\u0103n ph\u00f2ng \u0111\u1ea1i di\u1ec7n cho t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n kh\u00e1c.<\/FONT><\/P>

3. Ph\u1ea1t ti\u1ec1n t\u1eeb 70.000.000 \u0111\u1ed3ng \u0111\u1ebfn 90.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi v\u0103n ph\u00f2ng \u0111\u1ea1i di\u1ec7n c\u1ee7a t\u1ed5 ch\u1ee9c kinh doanh ch\u1ee9ng kho\u00e1n ho\u1ea1t \u0111\u1ed9ng kinh doanh ch\u1ee9ng kho\u00e1n, th\u1ef1c hi\u1ec7n ho\u1ea1t \u0111\u1ed9ng qu\u1ea3n l\u00fd v\u1ed1n, t\u00e0i s\u1ea3n cho nh\u00e0 \u0111\u1ea7u t\u01b0, cho t\u1ed5 ch\u1ee9c kinh doanh ch\u1ee9ng kho\u00e1n n\u01b0\u1edbc ngo\u00e0i tr\u00e1i quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt ho\u1ea1t \u0111\u1ed9ng kinh doanh ch\u1ee9ng kho\u00e1n, th\u1ef1c hi\u1ec7n ho\u1ea1t \u0111\u1ed9ng qu\u1ea3n l\u00fd v\u1ed1n, t\u00e0i s\u1ea3n cho nh\u00e0 \u0111\u1ea7u t\u01b0, cho t\u1ed5 ch\u1ee9c kinh doanh ch\u1ee9ng kho\u00e1n n\u01b0\u1edbc ngo\u00e0i tr\u00e1i quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt.<\/FONT><\/P>

4. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung:<\/FONT><\/P>

a) \u0110\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng v\u0103n ph\u00f2ng \u0111\u1ea1i di\u1ec7n trong th\u1eddi h\u1ea1n t\u1ed1i \u0111a 45 ng\u00e0y \u0111\u1ed1i v\u1edbi tr\u01b0\u1eddng h\u1ee3p vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 2 v\u00e0 3 \u0110i\u1ec1u n\u00e0y;<\/FONT><\/P>

b) Thu h\u1ed3i Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng v\u0103n ph\u00f2ng \u0111\u1ea1i di\u1ec7n n\u1ebfu sau th\u1eddi h\u1ea1n b\u1ecb \u0111\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng theo quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m a kho\u1ea3n n\u00e0y v\u1eabn kh\u00f4ng kh\u1eafc ph\u1ee5c \u0111\u01b0\u1ee3c vi ph\u1ea1m;<\/FONT><\/P>

c) T\u1ecbch thu to\u00e0n b\u1ed9 kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 2 v\u00e0 3 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 21. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 th\u00e0nh l\u1eadp qu\u1ef9 th\u00e0nh vi\u00ean<\/FONT><\/B><\/P><\/SPAN>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 30.000.000 \u0111\u1ed3ng \u0111\u1ebfn 50.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9; c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n l\u1eadp, x\u00e1c nh\u1eadn h\u1ed3 s\u01a1 th\u00e0nh l\u1eadp qu\u1ef9 th\u00e0nh vi\u00ean c\u00f3 th\u00f4ng tin sai l\u1ec7ch.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n t\u1eeb 50.000.000 \u0111\u1ed3ng \u0111\u1ebfn 70.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 v\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Kh\u00f4ng b\u00e1o c\u00e1o v\u1ec1 vi\u1ec7c th\u00e0nh l\u1eadp qu\u1ef9 th\u00e0nh vi\u00ean theo quy \u0111\u1ecbnh ho\u1eb7c th\u00e0nh l\u1eadp qu\u1ef9 th\u00e0nh vi\u00ean kh\u00f4ng \u0111\u00e1p \u1ee9ng c\u00e1c quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt;<\/FONT><\/P>

b) S\u1eed d\u1ee5ng c\u00e1c ph\u01b0\u01a1ng ti\u1ec7n th\u00f4ng tin \u0111\u1ea1i ch\u00fang \u0111\u1ec3 qu\u1ea3ng c\u00e1o, k\u00eau g\u1ecdi g\u00f3p v\u1ed1n, th\u0103m d\u00f2 th\u1ecb tr\u01b0\u1eddng trong qu\u00e1 tr\u00ecnh th\u00e0nh l\u1eadp qu\u1ef9 th\u00e0nh vi\u00ean;<\/FONT><\/P>

c) Th\u1ef1c hi\u1ec7n t\u0103ng, gi\u1ea3m v\u1ed1n \u0111i\u1ec1u l\u1ec7 kh\u00f4ng \u0111\u00fang quy \u0111\u1ecbnh;<\/FONT><\/P>

d) Kh\u00f4ng b\u00e1o c\u00e1o ho\u1eb7c b\u00e1o c\u00e1o kh\u00f4ng k\u1ecbp th\u1eddi v\u1ec1 r\u1ee7i ro, t\u1ed5n th\u1ea5t t\u00e0i s\u1ea3n qu\u1ef9.<\/FONT><\/P>

3. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3: <\/FONT><\/P>

Bu\u1ed9c hu\u1ef7 b\u1ecf, c\u1ea3i ch\u00ednh th\u00f4ng tin.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 22. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n <\/FONT><\/B><\/P><\/SPAN>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 5.000.000 \u0111\u1ed3ng \u0111\u1ebfn 10.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Kh\u00f4ng b\u00e1o c\u00e1o, b\u00e1o c\u00e1o kh\u00f4ng k\u1ecbp th\u1eddi khi thay \u0111\u1ed5i nh\u00e2n vi\u00ean h\u00e0nh ngh\u1ec1; <\/FONT><\/P>

b) Kh\u00f4ng b\u1ed1 tr\u00ed \u0111\u1ee7 ng\u01b0\u1eddi h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n cho t\u1eebng nghi\u1ec7p v\u1ee5 kinh doanh theo quy \u0111\u1ecbnh; b\u1ed1 tr\u00ed ng\u01b0\u1eddi c\u00f3 ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n nghi\u1ec7p v\u1ee5 kh\u00f4ng ph\u00f9 h\u1ee3p v\u1edbi lo\u1ea1i ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 \u0111\u01b0\u1ee3c c\u1ea5p theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt ho\u1eb7c l\u00e0m vi\u1ec7c t\u1ea1i nhi\u1ec1u v\u1ecb tr\u00ed nghi\u1ec7p v\u1ee5 chuy\u00ean m\u00f4n trong m\u1ed9t th\u1eddi \u0111i\u1ec3m.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n t\u1eeb 10.000.000 \u0111\u1ed3ng \u0111\u1ebfn 30.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) B\u1ed1 tr\u00ed ng\u01b0\u1eddi ch\u01b0a c\u00f3 ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n nh\u1eefng nghi\u1ec7p v\u1ee5 m\u00e0 theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt ph\u1ea3i c\u00f3 ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n;<\/FONT><\/P>

b) Kh\u00f4ng thay \u0111\u1ed5i ho\u1eb7c thuy\u00ean chuy\u1ec3n kh\u1ecfi v\u1ecb tr\u00ed chuy\u00ean m\u00f4n nghi\u1ec7p v\u1ee5 \u0111\u1ed1i v\u1edbi nh\u1eefng ng\u01b0\u1eddi c\u00f3 ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n \u0111\u00e3 b\u1ecb c\u01a1 quan c\u00f3 th\u1ea9m quy\u1ec1n ra quy\u1ebft \u0111\u1ecbnh thu h\u1ed3i ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1;<\/FONT><\/P>

c) Kh\u00f4ng b\u00e1o c\u00e1o, b\u00e1o c\u00e1o kh\u00f4ng k\u1ecbp th\u1eddi khi ph\u00e1t hi\u1ec7n ng\u01b0\u1eddi h\u00e0nh ngh\u1ec1 th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 3 v\u00e0 4 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P>

3. Ph\u1ea1t ti\u1ec1n 50.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi ng\u01b0\u1eddi h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) \u0110\u1ed3ng th\u1eddi l\u00e0m vi\u1ec7c cho t\u1ed5 ch\u1ee9c kh\u00e1c c\u00f3 quan h\u1ec7 s\u1edf h\u1eefu v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 n\u01a1i m\u00ecnh l\u00e0m vi\u1ec7c;<\/FONT><\/P>

b) \u0110\u1ed3ng th\u1eddi l\u00e0m vi\u1ec7c cho c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 kh\u00e1c;<\/FONT><\/P>

c) \u0110\u1ed3ng th\u1eddi l\u00e0m Gi\u00e1m \u0111\u1ed1c ho\u1eb7c T\u1ed5ng gi\u00e1m \u0111\u1ed1c c\u1ee7a m\u1ed9t t\u1ed5 ch\u1ee9c ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang ho\u1eb7c t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, tr\u1eeb tr\u01b0\u1eddng h\u1ee3p t\u1ed5 ch\u1ee9c n\u00e0y l\u00e0 c\u00f4ng ty ch\u1ee9ng kho\u00e1n;<\/FONT><\/P>

d) \u0110ang l\u00e0m vi\u1ec7c \u1edf c\u00f4ng ty ch\u1ee9ng kho\u00e1n n\u00e0y nh\u01b0ng m\u1edf t\u00e0i kho\u1ea3n giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u1edf c\u00f4ng ty ch\u1ee9ng kho\u00e1n kh\u00e1c;<\/FONT><\/P>

\u0111) H\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n nh\u01b0ng kh\u00f4ng l\u00e0m vi\u1ec7c t\u1ea1i m\u1ed9t c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, tr\u1eeb tr\u01b0\u1eddng h\u1ee3p ph\u00e1p lu\u1eadt c\u00f3 quy \u0111\u1ecbnh kh\u00e1c.<\/FONT><\/P>

4. Ph\u1ea1t ti\u1ec1n t\u1eeb 70.000.000 \u0111\u1ed3ng \u0111\u1ebfn 100.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n, nh\u00e2n vi\u00ean c\u00f4ng ty ch\u1ee9ng kho\u00e1n, ng\u01b0\u1eddi h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Cho m\u01b0\u1ee3n ti\u1ec1n, ch\u1ee9ng kho\u00e1n tr\u00ean t\u00e0i kho\u1ea3n c\u1ee7a kh\u00e1ch h\u00e0ng ho\u1eb7c s\u1eed d\u1ee5ng ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng \u0111\u1ec3 c\u1ea7m c\u1ed1 ho\u1eb7c s\u1eed d\u1ee5ng t\u00e0i kho\u1ea3n, ti\u1ec1n, ch\u1ee9ng kho\u00e1n tr\u00ean t\u00e0i kho\u1ea3n c\u1ee7a kh\u00e1ch h\u00e0ng khi ch\u01b0a \u0111\u01b0\u1ee3c kh\u00e1ch h\u00e0ng \u1ee7y th\u00e1c b\u1eb1ng v\u0103n b\u1ea3n;<\/FONT><\/P>

b) Cho m\u01b0\u1ee3n ho\u1eb7c cho thu\u00ea ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n;<\/FONT><\/P>

c) T\u1ea9y xo\u00e1, s\u1eeda ch\u1eefa ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n;<\/FONT><\/P>

d) Thay \u0111\u1ed5i th\u1ee9 t\u1ef1 \u01b0u ti\u00ean v\u1ec1 th\u1eddi gian khi th\u1ef1c hi\u1ec7n l\u1ec7nh c\u1ee7a kh\u00e1ch h\u00e0ng v\u00e0 c\u1ee7a nh\u00e2n vi\u00ean c\u00f4ng ty ch\u1ee9ng kho\u00e1n.<\/FONT><\/P>

5. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung:<\/FONT><\/P>

a) Thu h\u1ed3i gi\u1ea5y ph\u00e9p th\u00e0nh l\u1eadp v\u00e0 ho\u1ea1t \u0111\u1ed9ng c\u00f4ng ty ch\u1ee9ng kho\u00e1n do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 4 \u0110i\u1ec1u n\u00e0y;<\/FONT><\/P>

b) Thu h\u1ed3i ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 3 v\u00e0 4 \u0110i\u1ec1u n\u00e0y;<\/FONT><\/P>

c) T\u1ecbch thu to\u00e0n b\u1ed9 kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 4 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P>

6. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3:<\/FONT><\/P>

Bu\u1ed9c ch\u1ea5p h\u00e0nh \u0111\u00fang quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1ec1 h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n.<\/FONT><\/P><\/SPAN>

M\u1ee5c 6<\/FONT><\/B><\/P>

H\u00c0NH VI VI PH\u1ea0M QUY \u0110\u1ecaNH V\u1ec0 GIAO D\u1ecaCH CH\u1ee8NG KHO\u00c1N<\/FONT><\/B><\/P>

\u0110i\u1ec1u 23. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 giao d\u1ecbch c\u1ee7a c\u1ed5 \u0111\u00f4ng s\u00e1ng l\u1eadp, c\u1ed5 \u0111\u00f4ng n\u1ed9i b\u1ed9, c\u1ed5 \u0111\u00f4ng l\u1edbn, ng\u01b0\u1eddi \u0111\u01b0\u1ee3c \u1ee7y quy\u1ec1n c\u00f4ng b\u1ed1 th\u00f4ng tin, giao d\u1ecbch ch\u1ee9ng ch\u1ec9 qu\u1ef9 c\u1ee7a c\u00e1c \u0111\u1ed1i t\u01b0\u1ee3ng c\u00f3 li\u00ean quan<\/FONT><\/B><\/P><\/SPAN>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 30.000.000 \u0111\u1ed3ng \u0111\u1ebfn 50.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n, nh\u00f3m ng\u01b0\u1eddi c\u00f3 li\u00ean quan n\u1eafm gi\u1eef t\u1eeb 5% tr\u1edf l\u00ean s\u1ed1 c\u1ed5 phi\u1ebfu c\u00f3 quy\u1ec1n bi\u1ec3u quy\u1ebft c\u1ee7a m\u1ed9t c\u00f4ng ty \u0111\u1ea1i ch\u00fang th\u1ef1c hi\u1ec7n giao d\u1ecbch, k\u1ec3 c\u1ea3 tr\u01b0\u1eddng h\u1ee3p cho, t\u1eb7ng, th\u1eeba k\u1ebf, chuy\u1ec3n nh\u01b0\u1ee3ng ho\u1eb7c nh\u1eadn chuy\u1ec3n nh\u01b0\u1ee3ng quy\u1ec1n mua c\u1ed5 phi\u1ebfu ph\u00e1t h\u00e0nh th\u00eam v\u00e0 c\u00e1c tr\u01b0\u1eddng h\u1ee3p th\u1ef1c hi\u1ec7n giao d\u1ecbch kh\u00e1c theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt ho\u1eb7c kh\u00f4ng th\u1ef1c hi\u1ec7n giao d\u1ecbch nh\u01b0ng c\u00f3 thay \u0111\u1ed5i v\u1ec1 s\u1ed1 l\u01b0\u1ee3ng c\u1ed5 phi\u1ebfu s\u1edf h\u1eefu v\u01b0\u1ee3t qu\u00e1 1% s\u1ed1 l\u01b0\u1ee3ng c\u1ed5 phi\u1ebfu c\u00f9ng lo\u1ea1i \u0111ang l\u01b0u h\u00e0nh nh\u01b0ng kh\u00f4ng b\u00e1o c\u00e1o, b\u00e1o c\u00e1o kh\u00f4ng \u0111\u00fang th\u1eddi h\u1ea1n quy \u0111\u1ecbnh cho c\u00f4ng ty \u0111\u1ea1i ch\u00fang, \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc v\u00e0 S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n t\u1eeb 30.000.000 \u0111\u1ed3ng \u0111\u1ebfn 50.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u1ed5 \u0111\u00f4ng s\u00e1ng l\u1eadp, th\u00e0nh vi\u00ean H\u1ed9i \u0111\u1ed3ng qu\u1ea3n tr\u1ecb, Ban ki\u1ec3m so\u00e1t, Gi\u00e1m \u0111\u1ed1c ho\u1eb7c T\u1ed5ng gi\u00e1m \u0111\u1ed1c, Ph\u00f3 gi\u00e1m \u0111\u1ed1c ho\u1eb7c Ph\u00f3 T\u1ed5ng gi\u00e1m \u0111\u1ed1c, K\u1ebf to\u00e1n tr\u01b0\u1edfng, ng\u01b0\u1eddi \u0111\u01b0\u1ee3c \u1ee7y quy\u1ec1n c\u00f4ng b\u1ed1 th\u00f4ng tin c\u1ee7a t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, t\u1ed5 ch\u1ee9c \u0111\u0103ng k\u00fd giao d\u1ecbch; S\u00e1ng l\u1eadp vi\u00ean, th\u00e0nh vi\u00ean Ban \u0111\u1ea1i di\u1ec7n qu\u1ef9 \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, th\u00e0nh vi\u00ean H\u1ed9i \u0111\u1ed3ng qu\u1ea3n tr\u1ecb, Ban ki\u1ec3m so\u00e1t, Ban gi\u00e1m \u0111\u1ed1c c\u1ee7a c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, ng\u01b0\u1eddi \u0111i\u1ec1u h\u00e0nh qu\u1ef9 \u0111\u1ea7u t\u01b0 \u0111\u1ea1i ch\u00fang, ng\u01b0\u1eddi \u0111\u01b0\u1ee3c \u1ee7y quy\u1ec1n c\u00f4ng b\u1ed1 th\u00f4ng tin c\u1ee7a qu\u1ef9 \u0111\u1ea7u t\u01b0 \u0111\u1ea1i ch\u00fang, ng\u01b0\u1eddi c\u00f3 li\u00ean quan c\u1ee7a c\u00e1c \u0111\u1ed1i t\u01b0\u1ee3ng n\u00e0y v\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Kh\u00f4ng b\u00e1o c\u00e1o, b\u00e1o c\u00e1o kh\u00f4ng \u0111\u1ea7y \u0111\u1ee7, ch\u00ednh x\u00e1c, b\u00e1o c\u00e1o kh\u00f4ng \u0111\u00fang th\u1eddi h\u1ea1n theo quy \u0111\u1ecbnh tr\u01b0\u1edbc khi th\u1ef1c hi\u1ec7n giao d\u1ecbch c\u1ed5 phi\u1ebfu c\u1ee7a t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, t\u1ed5 ch\u1ee9c \u0111\u0103ng k\u00fd giao d\u1ecbch, giao d\u1ecbch ch\u1ee9ng ch\u1ec9 qu\u1ef9 c\u1ee7a m\u00ecnh, k\u1ec3 c\u1ea3 tr\u01b0\u1eddng h\u1ee3p chuy\u1ec3n nh\u01b0\u1ee3ng kh\u00f4ng th\u00f4ng qua h\u1ec7 th\u1ed1ng giao d\u1ecbch t\u1ea1i S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n; kh\u00f4ng b\u00e1o c\u00e1o, b\u00e1o c\u00e1o kh\u00f4ng \u0111\u00fang th\u1eddi h\u1ea1n v\u1ec1 k\u1ebft qu\u1ea3 th\u1ef1c hi\u1ec7n giao d\u1ecbch ho\u1eb7c v\u1ec1 vi\u1ec7c kh\u00f4ng th\u1ef1c hi\u1ec7n \u0111\u01b0\u1ee3c giao d\u1ecbch \u0111\u00f3;<\/FONT><\/P>

b) Th\u1ef1c hi\u1ec7n chuy\u1ec3n nh\u01b0\u1ee3ng c\u1ed5 phi\u1ebfu kh\u00f4ng \u0111\u00fang quy \u0111\u1ecbnh.<\/FONT><\/P>

3. Ph\u1ea1t ti\u1ec1n t\u1eeb 30.000.000 \u0111\u1ed3ng \u0111\u1ebfn 50.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi th\u00e0nh vi\u00ean H\u1ed9i \u0111\u1ed3ng qu\u1ea3n tr\u1ecb, Gi\u00e1m \u0111\u1ed1c ho\u1eb7c T\u1ed5ng gi\u00e1m \u0111\u1ed1c, Ph\u00f3 gi\u00e1m \u0111\u1ed1c ho\u1eb7c Ph\u00f3 T\u1ed5ng gi\u00e1m \u0111\u1ed1c, K\u1ebf to\u00e1n tr\u01b0\u1edfng, ng\u01b0\u1eddi ph\u1ee5 tr\u00e1ch t\u00e0i ch\u00ednh, ph\u1ee5 tr\u00e1ch k\u1ebf to\u00e1n v\u00e0 ng\u01b0\u1eddi qu\u1ea3n l\u00fd kh\u00e1c trong b\u1ed9 m\u00e1y qu\u1ea3n l\u00fd c\u00f4ng ty \u0111\u1ea1i ch\u00fang th\u1ef1c hi\u1ec7n mua v\u00e0 b\u00e1n ho\u1eb7c b\u00e1n v\u00e0 mua ch\u1ee9ng kho\u00e1n c\u1ee7a c\u00f4ng ty \u0111\u1ea1i ch\u00fang kh\u00f4ng \u0111\u00fang th\u1eddi h\u1ea1n quy \u0111\u1ecbnh.<\/FONT><\/P>

4. Ph\u1ea1t ti\u1ec1n t\u1eeb 50.000.000 \u0111\u1ed3ng \u0111\u1ebfn 70.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n v\u00e0 nh\u00f3m ng\u01b0\u1eddi c\u00f3 li\u00ean quan tr\u1edf th\u00e0nh c\u1ed5 \u0111\u00f4ng l\u1edbn c\u1ee7a c\u00f4ng ty \u0111\u1ea1i ch\u00fang th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Tr\u1edf th\u00e0nh c\u1ed5 \u0111\u00f4ng l\u1edbn c\u1ee7a c\u00f4ng ty \u0111\u1ea1i ch\u00fang m\u00e0 kh\u00f4ng b\u00e1o c\u00e1o ho\u1eb7c b\u00e1o c\u00e1o kh\u00f4ng \u0111\u00fang th\u1eddi h\u1ea1n theo quy \u0111\u1ecbnh cho c\u00f4ng ty \u0111\u1ea1i ch\u00fang, \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc v\u00e0 S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n n\u01a1i c\u1ed5 phi\u1ebfu c\u1ee7a c\u00f4ng ty \u0111\u1ea1i ch\u00fang \u0111\u00f3 \u0111\u01b0\u1ee3c ni\u00eam y\u1ebft;<\/FONT><\/P>

b) B\u00e1o c\u00e1o v\u1ec1 s\u1edf h\u1eefu c\u1ed5 \u0111\u00f4ng l\u1edbn kh\u00f4ng \u0111\u1ea7y \u0111\u1ee7 ho\u1eb7c kh\u00f4ng ch\u00ednh x\u00e1c c\u00e1c n\u1ed9i dung theo quy \u0111\u1ecbnh;<\/FONT><\/P>

c) Kh\u00f4ng n\u1ed9p ho\u1eb7c n\u1ed9p kh\u00f4ng \u0111\u00fang th\u1eddi h\u1ea1n b\u00e1o c\u00e1o cho c\u00f4ng ty \u0111\u1ea1i ch\u00fang, \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc v\u00e0 S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n khi c\u00f3 s\u1ef1 thay \u0111\u1ed5i \u0111\u1ea7u ti\u00ean v\u1ec1 s\u1ed1 l\u01b0\u1ee3ng c\u1ed5 phi\u1ebfu s\u1edf h\u1eefu l\u00e0m cho t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n, nh\u00f3m ng\u01b0\u1eddi c\u00f3 li\u00ean quan kh\u00f4ng c\u00f2n l\u00e0 c\u1ed5 \u0111\u00f4ng l\u1edbn.<\/FONT><\/P>

5. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3:<\/FONT><\/P>

T\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m b kho\u1ea3n 2 v\u00e0 kho\u1ea3n 3 \u0110i\u1ec1u n\u00e0y ph\u1ea3i n\u1ed9p l\u1ea1i m\u1ecdi kho\u1ea3n l\u1ee3i nhu\u1eadn thu \u0111\u01b0\u1ee3c cho c\u00f4ng ty \u0111\u1ea1i ch\u00fang.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 24. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 giao d\u1ecbch, n\u1eafm gi\u1eef c\u1ed5 phi\u1ebfu c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0<\/FONT><\/B><\/P><\/SPAN>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 50.000.000 \u0111\u1ed3ng \u0111\u1ebfn 70.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00e1 nh\u00e2n, t\u1ed5 ch\u1ee9c th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Vi ph\u1ea1m t\u1ef7 l\u1ec7 n\u1eafm gi\u1eef c\u1ed5 phi\u1ebfu c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 n\u01b0\u1edbc ngo\u00e0i; vi ph\u1ea1m quy ch\u1ebf ho\u1ea1t \u0111\u1ed9ng c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 n\u01b0\u1edbc ngo\u00e0i tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam;<\/FONT><\/P>

b) Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 t\u1ef7 l\u1ec7 s\u1edf h\u1eefu v\u1ed1n c\u1ed5 ph\u1ea7n ho\u1eb7c ph\u1ea7n v\u1ed1n g\u00f3p c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n v\u00e0 c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9;<\/FONT><\/P>

c) M\u01b0\u1ee3n danh ngh\u0129a ng\u01b0\u1eddi kh\u00e1c ho\u1eb7c \u0111\u1ed5i t\u00ean \u0111\u1ec3 giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/FONT><\/P>

2. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung:<\/FONT><\/P>

T\u1ecbch thu to\u00e0n b\u1ed9 kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 1 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P>

3. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3: <\/FONT><\/P>

Bu\u1ed9c ph\u1ea3i chuy\u1ec3n nh\u01b0\u1ee3ng c\u1ed5 phi\u1ebfu \u0111\u1ec3 gi\u1ea3m t\u1ef7 l\u1ec7 n\u1eafm gi\u1eef theo \u0111\u00fang quy \u0111\u1ecbnh.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 25. C\u00e1c h\u00e0nh vi gian l\u1eadn trong giao d\u1ecbch ch\u1ee9ng kho\u00e1n<\/FONT><\/B><\/P><\/SPAN>

1. Ph\u1ea1t ti\u1ec1n 500.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00e1 nh\u00e2n, t\u1ed5 ch\u1ee9c th\u1ef1c hi\u1ec7n m\u1ed9t trong nh\u1eefng h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Tr\u1ef1c ti\u1ebfp hay gi\u00e1n ti\u1ebfp tham gia v\u00e0o c\u00e1c ho\u1ea1t \u0111\u1ed9ng gian l\u1eadn, t\u1ea1o d\u1ef1ng th\u00f4ng tin sai s\u1ef1 th\u1eadt ho\u1eb7c b\u1ecf s\u00f3t c\u00e1c th\u00f4ng tin c\u1ea7n thi\u1ebft g\u00e2y hi\u1ec3u nh\u1ea7m nghi\u00eam tr\u1ecdng l\u00e0m \u1ea3nh h\u01b0\u1edfng \u0111\u1ebfn ho\u1ea1t \u0111\u1ed9ng ph\u00e1t h\u00e0nh, ni\u00eam y\u1ebft, giao d\u1ecbch, kinh doanh, \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n v\u00e0 c\u00e1c d\u1ecbch v\u1ee5 ch\u1ee9ng kho\u00e1n;<\/FONT><\/P>

b) Tr\u1ef1c ti\u1ebfp hay gi\u00e1n ti\u1ebfp tham gia v\u00e0o vi\u1ec7c c\u00f4ng b\u1ed1 th\u00f4ng tin sai l\u1ec7ch nh\u1eb1m l\u00f4i k\u00e9o, x\u00fai gi\u1ee5c vi\u1ec7c mua, b\u00e1n ch\u1ee9ng kho\u00e1n ho\u1eb7c kh\u00f4ng c\u00f4ng b\u1ed1 k\u1ecbp th\u1eddi, \u0111\u1ea7y \u0111\u1ee7  th\u00f4ng tin v\u1ec1 c\u00e1c s\u1ef1 ki\u1ec7n x\u1ea3y ra c\u00f3 \u1ea3nh h\u01b0\u1edfng \u0111\u1ebfn gi\u00e1 ch\u1ee9ng kho\u00e1n tr\u00ean th\u1ecb tr\u01b0\u1eddng.<\/FONT><\/P>

2. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung: <\/FONT><\/P>

a) T\u1ecbch thu to\u00e0n b\u1ed9 kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 1 \u0110i\u1ec1u n\u00e0y;<\/FONT><\/P>

b) Thu h\u1ed3i gi\u1ea5y ph\u00e9p, gi\u1ea5y ch\u1ee9ng nh\u1eadn trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n, ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 1 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P>

3. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3: <\/FONT><\/P>

Bu\u1ed9c hu\u1ef7 b\u1ecf, c\u1ea3i ch\u00ednh th\u00f4ng tin.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 26. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 giao d\u1ecbch n\u1ed9i b\u1ed9 trong giao d\u1ecbch ch\u1ee9ng kho\u00e1n <\/FONT><\/B><\/P><\/SPAN>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 150.000.000 \u0111\u1ed3ng \u0111\u1ebfn 200.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00e1 nh\u00e2n, t\u1ed5 ch\u1ee9c th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) S\u1eed d\u1ee5ng th\u00f4ng tin n\u1ed9i b\u1ed9 \u0111\u1ec3 th\u1ef1c hi\u1ec7n mua, b\u00e1n ch\u1ee9ng kho\u00e1n cho ch\u00ednh m\u00ecnh ho\u1eb7c b\u00ean th\u1ee9 ba;<\/FONT><\/P>

b) Ti\u1ebft l\u1ed9, cung c\u1ea5p th\u00f4ng tin n\u1ed9i b\u1ed9 ho\u1eb7c t\u01b0 v\u1ea5n cho b\u00ean th\u1ee9 ba mua, b\u00e1n ch\u1ee9ng kho\u00e1n tr\u00ean c\u01a1 s\u1edf th\u00f4ng tin n\u1ed9i b\u1ed9.<\/FONT><\/P>

2. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung: <\/FONT><\/P>

T\u1ecbch thu to\u00e0n b\u1ed9 kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 1 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 27. C\u00e1c h\u00e0nh vi thao t\u00fang gi\u00e1 ch\u1ee9ng kho\u00e1n<\/FONT><\/B><\/P><\/SPAN>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 200.000.000 \u0111\u1ed3ng \u0111\u1ebfn 300.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00e1 nh\u00e2n, t\u1ed5 ch\u1ee9c th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Th\u00f4ng \u0111\u1ed3ng trong giao d\u1ecbch ch\u1ee9ng kho\u00e1n nh\u1eb1m t\u1ea1o ra cung, c\u1ea7u gi\u1ea3 t\u1ea1o;<\/FONT><\/P>

b) Giao d\u1ecbch ch\u1ee9ng kho\u00e1n b\u1eb1ng h\u00ecnh th\u1ee9c c\u1ea5u k\u1ebft, l\u00f4i k\u00e9o ng\u01b0\u1eddi kh\u00e1c li\u00ean t\u1ee5c \u0111\u1eb7t l\u1ec7nh mua, b\u00e1n ch\u1ee9ng kho\u00e1n g\u00e2y \u1ea3nh h\u01b0\u1edfng l\u1edbn \u0111\u1ebfn cung c\u1ea7u v\u00e0 gi\u00e1 ch\u1ee9ng kho\u00e1n, thao t\u00fang gi\u00e1 ch\u1ee9ng kho\u00e1n;<\/FONT><\/P>

c) K\u1ebft h\u1ee3p ho\u1eb7c s\u1eed d\u1ee5ng c\u00e1c ph\u01b0\u01a1ng th\u1ee9c kh\u00e1c \u0111\u1ec3 thao t\u00fang gi\u00e1 ch\u1ee9ng kho\u00e1n. <\/FONT><\/P>

2. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung: <\/FONT><\/P>

T\u1ecbch thu to\u00e0n b\u1ed9 kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 1 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 28. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 ch\u00e0o mua c\u00f4ng khai<\/FONT><\/B><\/P><\/SPAN>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 50.000.000 \u0111\u1ed3ng \u0111\u1ebfn 70.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n ch\u00e0o mua th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau \u0111\u00e2y:<\/FONT><\/P>

a) Tr\u1ef1c ti\u1ebfp ho\u1eb7c gi\u00e1n ti\u1ebfp mua ho\u1eb7c cam k\u1ebft mua c\u1ed5 phi\u1ebfu \u0111ang \u0111\u01b0\u1ee3c ch\u00e0o mua b\u00ean ngo\u00e0i \u0111\u1ee3t ch\u00e0o mua;<\/FONT><\/P>

b) B\u00e1n ho\u1eb7c cam k\u1ebft b\u00e1n c\u1ed5 phi\u1ebfu \u0111ang ch\u00e0o mua;<\/FONT><\/P>

c) \u0110\u1ed1i x\u1eed kh\u00f4ng c\u00f4ng b\u1eb1ng v\u1edbi nh\u1eefng ng\u01b0\u1eddi s\u1edf h\u1eefu c\u00f9ng lo\u1ea1i c\u1ed5 phi\u1ebfu \u0111ang \u0111\u01b0\u1ee3c ch\u00e0o mua;<\/FONT><\/P>

d) Cung c\u1ea5p th\u00f4ng tin ri\u00eang cho m\u1ed9t s\u1ed1 c\u1ed5 \u0111\u00f4ng ho\u1eb7c cung c\u1ea5p th\u00f4ng tin cho c\u1ed5 \u0111\u00f4ng \u1edf m\u1ee9c \u0111\u1ed9 kh\u00f4ng gi\u1ed1ng nhau ho\u1eb7c kh\u00f4ng c\u00f9ng th\u1eddi \u0111i\u1ec3m;<\/FONT><\/P>

\u0111) Th\u1eddi gian th\u1ef1c hi\u1ec7n \u0111\u1ee3t ch\u00e0o mua c\u00f4ng khai kh\u00f4ng \u0111\u00fang v\u1edbi quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt;<\/FONT><\/P>

e) B\u00e1n ra s\u1ed1 c\u1ed5 phi\u1ebfu \u0111\u00e3 mua trong v\u00f2ng 6 th\u00e1ng k\u1ec3 t\u1eeb khi k\u1ebft th\u00fac \u0111\u1ee3t ch\u00e0o mua c\u00f4ng khai;<\/FONT><\/P>

g) Kh\u00f4ng \u00e1p d\u1ee5ng c\u00e1c \u0111i\u1ec1u ki\u1ec7n ch\u00e0o mua c\u00f4ng khai cho t\u1ea5t c\u1ea3 m\u1ecdi c\u1ed5 \u0111\u00f4ng c\u1ee7a c\u00f4ng ty \u0111\u1ea1i ch\u00fang;<\/FONT><\/P>

h) T\u1eeb ch\u1ed1i mua c\u1ed5 phi\u1ebfu t\u1eeb b\u1ea5t k\u1ef3 c\u1ed5 \u0111\u00f4ng n\u00e0o theo \u0111i\u1ec1u ki\u1ec7n \u0111\u00e3 ch\u00e0o mua c\u00f4ng khai;<\/FONT><\/P>

i) Mua c\u1ed5 phi\u1ebfu theo c\u00e1c \u0111i\u1ec1u kho\u1ea3n kh\u00e1c v\u1edbi c\u00e1c \u0111i\u1ec1u kho\u1ea3n \u0111\u00e3 \u0111\u01b0\u1ee3c c\u00f4ng b\u1ed1 trong b\u1ea3n \u0111\u0103ng k\u00fd ch\u00e0o mua c\u00f4ng khai.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n t\u1eeb 70.000.000 \u0111\u1ed3ng \u0111\u1ebfn 100.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau \u0111\u00e2y:<\/FONT><\/P>

a) Kh\u00f4ng th\u1ef1c hi\u1ec7n ch\u00e0o mua c\u00f4ng khai theo quy \u0111\u1ecbnh ho\u1eb7c th\u1ef1c hi\u1ec7n vi\u1ec7c ch\u00e0o mua c\u00f4ng khai khi ch\u01b0a c\u00f3 v\u0103n b\u1ea3n ch\u1ea5p thu\u1eadn c\u1ee7a \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc;<\/FONT><\/P>

b) Kh\u00f4ng th\u1ef1c hi\u1ec7n c\u00f4ng b\u1ed1 th\u00f4ng tin theo quy \u0111\u1ecbnh v\u1ec1 vi\u1ec7c ch\u00e0o mua c\u00f4ng khai;<\/FONT><\/P>

c) Thay \u0111\u1ed5i \u00fd \u0111\u1ecbnh ch\u00e0o mua c\u00f4ng khai \u0111\u00e3 c\u00f4ng b\u1ed1, tr\u1eeb tr\u01b0\u1eddng h\u1ee3p ph\u00e1p lu\u1eadt quy \u0111\u1ecbnh kh\u00e1c.<\/FONT><\/P>

3. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung: <\/FONT><\/P>

a) \u0110\u00ecnh ch\u1ec9 \u0111\u1ee3t ch\u00e0o mua c\u00f4ng khai trong th\u1eddi h\u1ea1n t\u1ed1i \u0111a 45 ng\u00e0y \u0111\u1ed1i v\u1edbi tr\u01b0\u1eddng h\u1ee3p vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 1 v\u00e0 2 \u0110i\u1ec1u n\u00e0y;<\/FONT><\/P>

b) Hu\u1ef7 b\u1ecf \u0111\u1ee3t ch\u00e0o mua c\u00f4ng khai n\u1ebfu sau th\u1eddi h\u1ea1n \u0111\u00ecnh ch\u1ec9 quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m a kho\u1ea3n n\u00e0y m\u00e0 v\u1eabn kh\u00f4ng kh\u1eafc ph\u1ee5c \u0111\u01b0\u1ee3c vi ph\u1ea1m.<\/FONT><\/P>

4. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3: <\/FONT><\/P>

Bu\u1ed9c ch\u1ea5p h\u00e0nh \u0111\u00fang quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1ec1 ch\u00e0o mua c\u00f4ng khai.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 29. Vi ph\u1ea1m c\u00e1c quy \u0111\u1ecbnh v\u1ec1 mua l\u1ea1i c\u1ed5 phi\u1ebfu, b\u00e1n c\u1ed5 phi\u1ebfu qu\u1ef9 <\/FONT><\/B><\/P><\/SPAN><\/SPAN>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 10.000.000 \u0111\u1ed3ng \u0111\u1ebfn 30.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty \u0111\u1ea1i ch\u00fang, c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 th\u1ef1c hi\u1ec7n m\u1ed9t trong nh\u1eefng h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) B\u00e1o c\u00e1o kh\u00f4ng ch\u00ednh x\u00e1c, \u0111\u1ea7y \u0111\u1ee7, k\u1ecbp th\u1eddi v\u1ec1 vi\u1ec7c mua l\u1ea1i c\u1ed5 phi\u1ebfu, b\u00e1n c\u1ed5 phi\u1ebfu qu\u1ef9, v\u1ec1 k\u1ebft qu\u1ea3 giao d\u1ecbch theo quy \u0111\u1ecbnh;<\/FONT><\/P>

b) C\u00f4ng b\u1ed1 th\u00f4ng tin kh\u00f4ng ch\u00ednh x\u00e1c, kh\u00f4ng \u0111\u1ea7y \u0111\u1ee7, k\u1ecbp th\u1eddi c\u00e1c n\u1ed9i dung v\u1ec1 vi\u1ec7c mua l\u1ea1i c\u1ed5 phi\u1ebfu, b\u00e1n c\u1ed5 phi\u1ebfu qu\u1ef9, v\u1ec1 k\u1ebft qu\u1ea3 giao d\u1ecbch theo quy \u0111\u1ecbnh.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n t\u1eeb 30.000.000 \u0111\u1ed3ng \u0111\u1ebfn 50.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty \u0111\u1ea1i ch\u00fang, c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Mua l\u1ea1i c\u1ed5 phi\u1ebfu, b\u00e1n c\u1ed5 phi\u1ebfu qu\u1ef9 nh\u01b0ng kh\u00f4ng th\u1ef1c hi\u1ec7n b\u00e1o c\u00e1o, c\u00f4ng b\u1ed1 th\u00f4ng tin theo quy \u0111\u1ecbnh; th\u1ef1c hi\u1ec7n mua l\u1ea1i c\u1ed5 phi\u1ebfu, b\u00e1n c\u1ed5 phi\u1ebfu qu\u1ef9 khi ch\u01b0a \u0111\u00e1p \u1ee9ng \u0111\u1ee7 \u0111i\u1ec1u ki\u1ec7n theo quy \u0111\u1ecbnh;<\/FONT><\/P>

b) Kh\u00f4ng tu\u00e2n th\u1ee7 quy \u0111\u1ecbnh v\u1ec1 ngu\u1ed3n mua l\u1ea1i; kho\u1ea3ng c\u00e1ch gi\u1eefa l\u1ea7n mua v\u00e0 b\u00e1n c\u1ed5 phi\u1ebfu qu\u1ef9 g\u1ea7n nh\u1ea5t;<\/FONT><\/P>

c) Th\u1ef1c hi\u1ec7n mua l\u1ea1i c\u1ed5 phi\u1ebfu trong tr\u01b0\u1eddng h\u1ee3p ph\u00e1p lu\u1eadt quy \u0111\u1ecbnh kh\u00f4ng \u0111\u01b0\u1ee3c ph\u00e9p mua l\u1ea1i;<\/FONT><\/P>

d) Thay \u0111\u1ed5i \u00fd \u0111\u1ecbnh, ph\u01b0\u01a1ng \u00e1n mua l\u1ea1i c\u1ed5 phi\u1ebfu, b\u00e1n c\u1ed5 phi\u1ebfu qu\u1ef9 nh\u01b0 \u0111\u00e3 b\u00e1o c\u00e1o, c\u00f4ng b\u1ed1 th\u00f4ng tin ra c\u00f4ng ch\u00fang tr\u00e1i quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt; th\u1ef1c hi\u1ec7n mua l\u1ea1i, b\u00e1n c\u1ed5 phi\u1ebfu qu\u1ef9 kh\u00f4ng \u0111\u00fang v\u1edbi n\u1ed9i dung \u0111\u00e3 b\u00e1o c\u00e1o, c\u00f4ng b\u1ed1 th\u00f4ng tin.<\/FONT><\/P>

3. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung:<\/FONT><\/P>

T\u1ecbch thu to\u00e0n b\u1ed9 kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 2 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P>

4. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3: <\/FONT><\/P>

Bu\u1ed9c hu\u1ef7 b\u1ecf, c\u1ea3i ch\u00ednh th\u00f4ng tin.<\/FONT><\/P><\/SPAN>

M\u1ee5c 7<\/FONT><\/B><\/P>

H\u00c0NH VI VI PH\u1ea0M QUY \u0110\u1ecaNH V\u1ec0 \u0110\u0102NG K\u00dd, L\u01afU K\u00dd, B\u00d9 TR\u1eea V\u00c0 THANH TO\u00c1N CH\u1ee8NG KHO\u00c1N, <\/FONT><\/B><\/P>

NG\u00c2N H\u00c0NG GI\u00c1M S\u00c1T, NG\u00c2N H\u00c0NG L\u01afU K\u00dd<\/FONT><\/B><\/P>

\u0110i\u1ec1u 30. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd<\/FONT><\/B><\/P><\/SPAN>

1. Ph\u1ea1t ti\u1ec1n 30.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i kh\u00f4ng th\u1ef1c hi\u1ec7n \u0111\u0103ng k\u00fd th\u00e0nh vi\u00ean l\u01b0u k\u00fd, chi nh\u00e1nh th\u00e0nh vi\u00ean l\u01b0u k\u00fd v\u00e0 ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n trong th\u1eddi h\u1ea1n quy \u0111\u1ecbnh.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n t\u1eeb 50.000.000 \u0111\u1ed3ng \u0111\u1ebfn 70.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) L\u1eadp h\u1ed3 s\u01a1 \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n, chi nh\u00e1nh ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd c\u00f3 th\u00f4ng tin sai l\u1ec7ch;<\/FONT><\/P>

b) Th\u1ef1c hi\u1ec7n ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n khi ch\u01b0a \u0111\u00e1p \u1ee9ng \u0111\u1ea7y \u0111\u1ee7 \u0111i\u1ec1u ki\u1ec7n theo quy \u0111\u1ecbnh; ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n khi ch\u01b0a \u0111\u01b0\u1ee3c c\u1ea5p Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n ho\u1eb7c ch\u01b0a \u0111\u01b0\u1ee3c \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc ch\u1ea5p thu\u1eadn.<\/FONT><\/P>

3. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung:<\/FONT><\/P>

a) \u0110\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd trong th\u1eddi h\u1ea1n t\u1ed1i \u0111a 90 ng\u00e0y \u0111\u1ed1i v\u1edbi tr\u01b0\u1eddng h\u1ee3p vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 2 \u0110i\u1ec1u n\u00e0y;<\/FONT><\/P>

b) Thu h\u1ed3i Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n n\u1ebfu sau th\u1eddi h\u1ea1n \u0111\u00ecnh ch\u1ec9 quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m a kho\u1ea3n n\u00e0y m\u00e0 v\u1eabn kh\u00f4ng kh\u1eafc ph\u1ee5c \u0111\u01b0\u1ee3c vi ph\u1ea1m;<\/FONT><\/P>

c) T\u1ecbch thu to\u00e0n b\u1ed9 kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m b kho\u1ea3n 2 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 31. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n ch\u1ee9ng kho\u00e1n <\/FONT><\/B><\/P><\/SPAN>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 50.000.000 \u0111\u1ed3ng \u0111\u1ebfn 70.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n, th\u00e0nh vi\u00ean l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng thanh to\u00e1n th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) T\u1ed5 ch\u1ee9c th\u1ef1c hi\u1ec7n \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n ch\u1ee9ng kho\u00e1n trong khi ch\u01b0a \u0111\u00e1p \u1ee9ng c\u00e1c \u0111i\u1ec1u ki\u1ec7n c\u01a1 s\u1edf v\u1eadt ch\u1ea5t, k\u1ef9 thu\u1eadt ph\u1ee5c v\u1ee5 cho c\u00e1c ho\u1ea1t \u0111\u1ed9ng \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n ch\u1ee9ng kho\u00e1n theo quy \u0111\u1ecbnh;<\/FONT><\/P>

b) Ch\u01b0a x\u00e2y d\u1ef1ng \u0111\u1ea7y \u0111\u1ee7 c\u00e1c quy tr\u00ecnh ho\u1ea1t \u0111\u1ed9ng v\u00e0 qu\u1ea3n l\u00fd r\u1ee7i ro cho t\u1eebng nghi\u1ec7p v\u1ee5 theo quy \u0111\u1ecbnh;<\/FONT><\/P>

c) Kh\u00f4ng cung c\u1ea5p \u0111\u1ea7y \u0111\u1ee7, k\u1ecbp th\u1eddi, ch\u00ednh x\u00e1c danh s\u00e1ch ng\u01b0\u1eddi s\u1edf h\u1eefu, c\u1ed5 \u0111\u00f4ng v\u00e0 c\u00e1c t\u00e0i li\u1ec7u li\u00ean quan theo y\u00eau c\u1ea7u h\u1ee3p l\u1ec7 v\u00e0 ph\u00f9 h\u1ee3p v\u1edbi quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt hi\u1ec7n h\u00e0nh c\u1ee7a c\u00f4ng ty \u0111\u1ea1i ch\u00fang; kh\u00f4ng th\u00f4ng b\u00e1o k\u1ecbp th\u1eddi, \u0111\u1ea7y \u0111\u1ee7 c\u00e1c quy\u1ec1n l\u1ee3i ph\u00e1t sinh li\u00ean quan \u0111\u1ebfn ch\u1ee9ng kho\u00e1n l\u01b0u k\u00fd c\u1ee7a kh\u00e1ch h\u00e0ng.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n t\u1eeb 70.000.000 \u0111\u1ed3ng \u0111\u1ebfn 90.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n, th\u00e0nh vi\u00ean l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n v\u00e0 nh\u00e2n vi\u00ean c\u1ee7a c\u00e1c t\u1ed5 ch\u1ee9c n\u00e0y th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Ch\u1ea5p thu\u1eadn ho\u1eb7c hu\u1ef7 b\u1ecf t\u01b0 c\u00e1ch th\u00e0nh vi\u00ean l\u01b0u k\u00fd kh\u00f4ng \u0111\u00fang quy \u0111\u1ecbnh;<\/FONT><\/P>

b) Vi ph\u1ea1m ch\u1ebf \u0111\u1ed9 b\u1ea3o qu\u1ea3n, l\u01b0u gi\u1eef ch\u1ee9ng kho\u00e1n, ch\u1ebf \u0111\u1ed9 \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n ch\u1ee9ng kho\u00e1n;<\/FONT><\/P>

c) Kh\u00f4ng qu\u1ea3n l\u00fd t\u00e1ch bi\u1ec7t ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng l\u01b0u k\u00fd t\u1ea1i Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n, th\u00e0nh vi\u00ean l\u01b0u k\u00fd v\u1edbi t\u00e0i s\u1ea3n c\u1ee7a Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n, th\u00e0nh vi\u00ean l\u01b0u k\u00fd; kh\u00f4ng m\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n chi ti\u1ebft cho t\u1eebng kh\u00e1ch h\u00e0ng v\u00e0 qu\u1ea3n l\u00fd t\u00e1ch bi\u1ec7t t\u00e0i s\u1ea3n cho t\u1eebng kh\u00e1ch h\u00e0ng.<\/FONT><\/P>

3. Ph\u1ea1t ti\u1ec1n t\u1eeb 100.000.000 \u0111\u1ed3ng \u0111\u1ebfn 120.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n, th\u00e0nh vi\u00ean l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n v\u00e0 nh\u00e2n vi\u00ean c\u1ee7a c\u00e1c t\u1ed5 ch\u1ee9c n\u00e0y th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 h\u1ea1ch to\u00e1n tr\u00ean t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n, v\u1ec1 th\u1eddi gian thanh to\u00e1n, chuy\u1ec3n giao quy\u1ec1n s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n ho\u1eb7c s\u1eeda ch\u1eefa, th\u1ea5t l\u1ea1c, gi\u1ea3 m\u1ea1o ch\u1ee9ng t\u1eeb trong thanh to\u00e1n, chuy\u1ec3n giao quy\u1ec1n s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n;<\/FONT><\/P>

b) S\u1eed d\u1ee5ng ch\u1ee9ng kho\u00e1n c\u1ee7a kh\u00e1ch h\u00e0ng v\u00ec l\u1ee3i \u00edch c\u1ee7a t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n kh\u00e1c ho\u1eb7c v\u00ec l\u1ee3i \u00edch c\u1ee7a ch\u00ednh Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n, th\u00e0nh vi\u00ean l\u01b0u k\u00fd;<\/FONT><\/P>

c) Th\u1ef1c hi\u1ec7n giao d\u1ecbch ch\u1ee9ng kho\u00e1n khi ch\u01b0a \u0111\u01b0\u1ee3c Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n h\u1ea1ch to\u00e1n v\u00e0o t\u00e0i kho\u1ea3n ch\u1ee9ng kho\u00e1n giao d\u1ecbch c\u1ee7a th\u00e0nh vi\u00ean, tr\u1eeb tr\u01b0\u1eddng h\u1ee3p ph\u00e1p lu\u1eadt quy \u0111\u1ecbnh kh\u00e1c;<\/FONT><\/P>

d) Ch\u01b0a c\u00f3 bi\u1ec7n ph\u00e1p b\u1ea3o v\u1ec7 c\u01a1 s\u1edf d\u1eef li\u1ec7u v\u00e0 l\u01b0u gi\u1eef c\u00e1c ch\u1ee9ng t\u1eeb g\u1ed1c v\u1ec1 \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n ch\u1ee9ng kho\u00e1n theo quy \u0111\u1ecbnh;<\/FONT><\/P>

\u0111) Vi ph\u1ea1m ch\u1ebf \u0111\u1ed9 b\u1ea3o m\u1eadt t\u00e0i kho\u1ea3n l\u01b0u k\u00fd c\u1ee7a kh\u00e1ch h\u00e0ng.<\/FONT><\/P>

4. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung:<\/FONT><\/P>

a) \u0110\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd trong th\u1eddi h\u1ea1n t\u1ed1i \u0111a 90 ng\u00e0y \u0111\u1ed1i v\u1edbi th\u00e0nh vi\u00ean l\u01b0u k\u00fd vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c \u0111i\u1ec3m a, b, d v\u00e0 \u0111 kho\u1ea3n 3 \u0110i\u1ec1u n\u00e0y;<\/FONT><\/P>

b) Thu h\u1ed3i Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n n\u1ebfu sau th\u1eddi h\u1ea1n \u0111\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m a kho\u1ea3n n\u00e0y m\u00e0 v\u1eabn kh\u00f4ng kh\u1eafc ph\u1ee5c \u0111\u01b0\u1ee3c vi ph\u1ea1m;<\/FONT><\/P>

c) T\u1ecbch thu to\u00e0n b\u1ed9 kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 3 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P>

5. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3: <\/FONT><\/P>

Bu\u1ed9c ch\u1ea5p h\u00e0nh \u0111\u00fang quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1ec1 \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n ch\u1ee9ng kho\u00e1n. <\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 32. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 tr\u00e1ch nhi\u1ec7m c\u1ee7a ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t, ng\u00e2n h\u00e0ng l\u01b0u k\u00fd<\/FONT><\/B><\/P><\/SPAN>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 30.000.000 \u0111\u1ed3ng \u0111\u1ebfn 50.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t, ng\u00e2n h\u00e0ng l\u01b0u k\u00fd th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Kh\u00f4ng th\u1ef1c hi\u1ec7n vi\u1ec7c l\u01b0u k\u00fd, t\u00e1ch bi\u1ec7t t\u00e0i s\u1ea3n c\u1ee7a t\u1eebng qu\u1ef9, t\u1eebng kh\u00e1ch h\u00e0ng \u1ee7y th\u00e1c v\u00e0 t\u00e0i s\u1ea3n c\u1ee7a ng\u00e2n h\u00e0ng theo \u0111\u00fang quy \u0111\u1ecbnh;<\/FONT><\/P>

b) Kh\u00f4ng th\u1ef1c hi\u1ec7n \u0111\u00fang v\u00e0 \u0111\u1ea7y \u0111\u1ee7 ngh\u0129a v\u1ee5 c\u1ee7a ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t, ng\u00e2n h\u00e0ng l\u01b0u k\u00fd theo quy \u0111\u1ecbnh t\u1ea1i h\u1ee3p \u0111\u1ed3ng gi\u00e1m s\u00e1t, h\u1ee3p \u0111\u1ed3ng l\u01b0u k\u00fd, \u0111i\u1ec1u l\u1ec7 qu\u1ef9 v\u00e0 c\u00e1c quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt;<\/FONT><\/P>

c) Kh\u00f4ng l\u1eadp, l\u01b0u tr\u1eef h\u1ed3 s\u01a1, ch\u1ee9ng t\u1eeb theo quy \u0111\u1ecbnh; kh\u00f4ng ph\u1ea3n \u00e1nh ch\u00ednh x\u00e1c, chi ti\u1ebft c\u00e1c giao d\u1ecbch c\u1ee7a c\u00f4ng ty, qu\u1ef9 \u0111\u1ea7u t\u01b0, nh\u00e0 \u0111\u1ea7u t\u01b0 \u1ee7y th\u00e1c, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n theo quy \u0111\u1ecbnh;<\/FONT><\/P>

d) Kh\u00f4ng tu\u00e2n th\u1ee7 ch\u1ebf \u0111\u1ed9 b\u00e1o c\u00e1o, c\u00f4ng b\u1ed1 th\u00f4ng tin theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u00e0 th\u1ef1c hi\u1ec7n b\u00e1o c\u00e1o k\u1ecbp th\u1eddi nh\u1eefng v\u1ea5n \u0111\u1ec1 b\u1ea5t th\u01b0\u1eddng trong ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd, gi\u00e1m s\u00e1t; kh\u00f4ng cung c\u1ea5p k\u1ecbp th\u1eddi, \u0111\u1ea7y \u0111\u1ee7 v\u00e0 ch\u00ednh x\u00e1c th\u00f4ng tin cho c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, t\u1ed5 ch\u1ee9c ki\u1ec3m to\u00e1n, c\u00e1c c\u01a1 quan qu\u1ea3n l\u00fd ch\u1ee9c n\u0103ng theo \u0111\u00fang quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt;<\/FONT><\/P>

\u0111) Kh\u00f4ng b\u00e1o c\u00e1o \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc v\u1ec1 th\u00e0nh vi\u00ean Ban gi\u00e1m \u0111\u1ed1c \u0111\u01b0\u1ee3c ph\u00e2n c\u00f4ng ph\u1ee5 tr\u00e1ch ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd, \u0111\u0103ng k\u00fd, thanh to\u00e1n b\u00f9 tr\u1eeb ch\u1ee9ng kho\u00e1n v\u00e0 c\u00e1c nh\u00e2n vi\u00ean nghi\u1ec7p v\u1ee5; kh\u00f4ng \u0111\u1ea3m b\u1ea3o b\u1ed9 ph\u1eadn cung c\u1ea5p d\u1ecbch v\u1ee5 x\u00e1c \u0111\u1ecbnh gi\u00e1 tr\u1ecb t\u00e0i s\u1ea3n r\u00f2ng c\u00f3 nh\u00e2n vi\u00ean c\u00f3 ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 ki\u1ec3m to\u00e1n ho\u1eb7c k\u1ebf to\u00e1n theo quy \u0111\u1ecbnh.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n t\u1eeb 50.000.000 \u0111\u1ed3ng \u0111\u1ebfn 70.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi ng\u00e2n h\u00e0ng l\u01b0u k\u00fd th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Th\u1ef1c hi\u1ec7n l\u01b0u k\u00fd trong \u0111i\u1ec1u ki\u1ec7n ch\u01b0a b\u1ea3o \u0111\u1ea3m c\u01a1 s\u1edf v\u1eadt ch\u1ea5t, k\u1ef9 thu\u1eadt, ch\u01b0a x\u00e2y d\u1ef1ng quy tr\u00ecnh ho\u1ea1t \u0111\u1ed9ng, qu\u1ea3n l\u00fd r\u1ee7i ro \u0111\u1ec3 \u0111\u1ea3m b\u1ea3o th\u1ef1c hi\u1ec7n \u0111\u1ea7y \u0111\u1ee7 ngh\u0129a v\u1ee5 theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt;<\/FONT><\/P>

b) Th\u1ef1c hi\u1ec7n ho\u1ea1t \u0111\u1ed9ng thu, chi, thanh to\u00e1n v\u00e0 chuy\u1ec3n giao ti\u1ec1n, ch\u1ee9ng kho\u00e1n kh\u00f4ng k\u1ecbp th\u1eddi, ch\u00ednh x\u00e1c theo quy \u0111\u1ecbnh;<\/FONT><\/P>

c) S\u1eed d\u1ee5ng ti\u1ec1n v\u00e0 t\u00e0i s\u1ea3n c\u1ee7a qu\u1ef9, nh\u00e0 \u0111\u1ea7u t\u01b0 \u1ee7y th\u00e1c sai m\u1ee5c \u0111\u00edch ho\u1eb7c kh\u00f4ng \u0111\u00fang quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec1u l\u1ec7 qu\u1ef9, h\u1ee3p \u0111\u1ed3ng l\u01b0u k\u00fd v\u00e0 c\u00e1c quy \u0111\u1ecbnh hi\u1ec7n h\u00e0nh;<\/FONT><\/P>

d) Th\u1ef1c hi\u1ec7n vi\u1ec7c thanh to\u00e1n cho c\u00e1c giao d\u1ecbch kh\u00f4ng ph\u00f9 h\u1ee3p v\u1edbi \u0111i\u1ec1u l\u1ec7 qu\u1ef9, h\u1ee3p \u0111\u1ed3ng u\u1ef7 th\u00e1c v\u00e0 h\u1ee3p \u0111\u1ed3ng l\u01b0u k\u00fd;<\/FONT><\/P>

\u0111) Kh\u00f4ng th\u1ef1c hi\u1ec7n \u0111\u00fang, \u0111\u1ea7y \u0111\u1ee7 v\u00e0 k\u1ecbp th\u1eddi l\u1ec7nh ho\u1eb7c c\u00e1c ch\u1ec9 th\u1ecb h\u1ee3p ph\u00e1p kh\u00e1c c\u1ee7a c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u1ee7a ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t v\u00e0 c\u00e1c quy\u1ec1n ph\u00e1t sinh trong vi\u1ec7c th\u1ef1c hi\u1ec7n c\u00e1c quy\u1ec1n v\u00e0 ngh\u0129a v\u1ee5 li\u00ean quan \u0111\u1ebfn quy\u1ec1n s\u1edf h\u1eefu t\u00e0i s\u1ea3n c\u1ee7a qu\u1ef9, c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 \u1ee7y th\u00e1c;<\/FONT><\/P>

e) Kh\u00f4ng th\u1ef1c hi\u1ec7n \u0111\u1ea7y \u0111\u1ee7, ch\u00ednh x\u00e1c, k\u1ecbp th\u1eddi c\u00e1c quy \u0111\u1ecbnh v\u1ec1 vi\u1ec7c thanh l\u00fd t\u00e0i s\u1ea3n, ph\u01b0\u01a1ng \u00e1n x\u1eed l\u00fd c\u00e1c t\u00e0i s\u1ea3n c\u00f2n l\u1ea1i; kh\u00f4ng th\u1ef1c hi\u1ec7n b\u00e1o c\u00e1o \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc c\u00e1c th\u00f4ng tin c\u1ea7n thi\u1ebft c\u00f3 li\u00ean quan \u0111\u1ebfn vi\u1ec7c gi\u1ea3i th\u1ec3 qu\u1ef9;<\/FONT><\/P>

g) Vi ph\u1ea1m c\u00e1c quy \u0111\u1ecbnh v\u1ec1 ngh\u0129a v\u1ee5 c\u1ee7a th\u00e0nh vi\u00ean l\u01b0u k\u00fd.<\/FONT><\/P>

3. Ph\u1ea1t ti\u1ec1n t\u1eeb 50.000.000 \u0111\u1ed3ng \u0111\u1ebfn 70.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t, th\u00e0nh vi\u00ean H\u1ed9i \u0111\u1ed3ng qu\u1ea3n tr\u1ecb, Gi\u00e1m \u0111\u1ed1c, Ph\u00f3 gi\u00e1m \u0111\u1ed1c ho\u1eb7c T\u1ed5ng gi\u00e1m \u0111\u1ed1c, Ph\u00f3 T\u1ed5ng gi\u00e1m \u0111\u1ed1c v\u00e0 nh\u00e2n vi\u00ean nghi\u1ec7p v\u1ee5 th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) L\u00e0 ng\u01b0\u1eddi c\u00f3 li\u00ean quan ho\u1eb7c tham gia \u0111i\u1ec1u h\u00e0nh, qu\u1ea3n tr\u1ecb c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 ho\u1eb7c c\u00f3 quan h\u1ec7 s\u1edf h\u1eefu, tham gia g\u00f3p v\u1ed1n, n\u1eafm gi\u1eef c\u1ed5 ph\u1ea7n, vay ho\u1eb7c cho vay v\u1edbi c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n v\u00e0 ng\u01b0\u1ee3c l\u1ea1i;<\/FONT><\/P>

b) L\u00e0 c\u00e1c \u0111\u1ed1i t\u00e1c trong c\u00e1c giao d\u1ecbch t\u00e0i s\u1ea3n c\u1ee7a qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n;<\/FONT><\/P>

c) Kh\u00f4ng th\u1ef1c hi\u1ec7n vi\u1ec7c gi\u00e1m s\u00e1t ho\u1ea1t \u0111\u1ed9ng, h\u1ea1n ch\u1ebf \u0111\u1ea7u t\u01b0 c\u1ee7a qu\u1ef9 do c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 th\u1ef1c hi\u1ec7n theo c\u00e1c quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt; <\/FONT><\/P>

d) Kh\u00f4ng b\u00e1o c\u00e1o \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc, b\u00e1o c\u00e1o kh\u00f4ng k\u1ecbp th\u1eddi khi ph\u00e1t hi\u1ec7n sai s\u00f3t, vi ph\u1ea1m c\u1ee7a c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9;<\/FONT><\/P>

\u0111) Kh\u00f4ng th\u00f4ng b\u00e1o k\u1ecbp th\u1eddi \u0111\u1ebfn c\u01a1 quan qu\u1ea3n l\u00fd ch\u1ee9c n\u0103ng v\u1ec1 vi\u1ec7c ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t, th\u00e0nh vi\u00ean H\u1ed9i \u0111\u1ed3ng qu\u1ea3n tr\u1ecb, ng\u01b0\u1eddi \u0111i\u1ec1u h\u00e0nh v\u00e0 nh\u00e2n vi\u00ean nghi\u1ec7p v\u1ee5 l\u00e0 ng\u01b0\u1eddi c\u00f3 li\u00ean quan ho\u1eb7c c\u00f3 quan h\u1ec7 s\u1edf h\u1eefu, tham gia g\u00f3p v\u1ed1n, n\u1eafm gi\u1eef c\u1ed5 ph\u1ea7n, vay ho\u1eb7c cho vay v\u1edbi c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n v\u00e0 ng\u01b0\u1ee3c l\u1ea1i;<\/FONT><\/P>

e) Kh\u00f4ng t\u00e1ch bi\u1ec7t v\u1ec1 ho\u1ea1t \u0111\u1ed9ng, h\u1ec7 th\u1ed1ng c\u00f4ng ngh\u1ec7 th\u00f4ng tin, h\u1ec7 th\u1ed1ng b\u00e1o c\u00e1o gi\u1eefa b\u1ed9 ph\u1eadn cung c\u1ea5p d\u1ecbch v\u1ee5 x\u00e1c \u0111\u1ecbnh gi\u00e1 tr\u1ecb t\u00e0i s\u1ea3n r\u00f2ng, b\u1ed9 ph\u1eadn th\u1ef1c hi\u1ec7n ch\u1ee9c n\u0103ng gi\u00e1m s\u00e1t, b\u1ed9 ph\u1eadn ch\u1ecbu tr\u00e1ch nhi\u1ec7m l\u1eadp, l\u01b0u tr\u1eef v\u00e0 c\u1eadp nh\u1eadt S\u1ed5 \u0111\u0103ng k\u00fd nh\u00e0 \u0111\u1ea7u t\u01b0;<\/FONT><\/P>

g) Kh\u00f4ng th\u1ef1c hi\u1ec7n \u0111\u1ea7y \u0111\u1ee7 tr\u00e1ch nhi\u1ec7m c\u1ee7a ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t t\u1ea1i c\u00e1c b\u00e1o c\u00e1o li\u00ean quan \u0111\u1ebfn t\u00e0i s\u1ea3n v\u00e0 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a qu\u1ef9 do c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 l\u1eadp; x\u00e1c nh\u1eadn b\u00e1o c\u00e1o t\u00e0i s\u1ea3n qu\u1ef9 \u0111\u1ea1i ch\u00fang, t\u00e0i s\u1ea3n c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, b\u00e1o c\u00e1o x\u00e1c \u0111\u1ecbnh gi\u00e1 tr\u1ecb t\u00e0i s\u1ea3n r\u00f2ng do c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n l\u1eadp kh\u00f4ng ch\u00ednh x\u00e1c ho\u1eb7c c\u00f3 sai l\u1ec7ch.<\/FONT><\/P>

4. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung:<\/FONT><\/P>

a) \u0110\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n trong th\u1eddi h\u1ea1n t\u1ed1i \u0111a 30 ng\u00e0y \u0111\u1ed1i v\u1edbi tr\u01b0\u1eddng h\u1ee3p vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m c kho\u1ea3n 2 \u0110i\u1ec1u n\u00e0y;<\/FONT><\/P>

b) Thu h\u1ed3i Gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u0103ng k\u00fd ho\u1ea1t \u0111\u1ed9ng l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n n\u1ebfu sau th\u1eddi h\u1ea1n \u0111\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m a kho\u1ea3n n\u00e0y m\u00e0 v\u1eabn kh\u00f4ng kh\u1eafc ph\u1ee5c \u0111\u01b0\u1ee3c vi ph\u1ea1m;<\/FONT><\/P>

c) T\u1ecbch thu to\u00e0n b\u1ed9 kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i \u0111i\u1ec3m c kho\u1ea3n 2, \u0111i\u1ec3m a v\u00e0 b kho\u1ea3n 3 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P><\/SPAN>

M\u1ee5c 8<\/FONT><\/B><\/P>

H\u00c0NH VI VI PH\u1ea0M QUY \u0110\u1ecaNH V\u1ec0 C\u00d4NG B\u1ed0 TH\u00d4NG TIN V\u00c0 B\u00c1O C\u00c1O<\/FONT><\/B><\/P>

 \u0110i\u1ec1u 33. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 c\u00f4ng b\u1ed1 th\u00f4ng tin<\/FONT><\/B><\/P><\/SPAN>

1. Ph\u1ea1t c\u1ea3nh c\u00e1o ho\u1eb7c ph\u1ea1t ti\u1ec1n t\u1eeb 5.000.000 \u0111\u1ed3ng \u0111\u1ebfn 10.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh, c\u00f4ng ty \u0111\u1ea1i ch\u00fang, t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, t\u1ed5 ch\u1ee9c \u0111\u0103ng k\u00fd giao d\u1ecbch, c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n, Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n v\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) C\u00f4ng b\u1ed1 th\u00f4ng tin kh\u00f4ng \u0111\u00fang m\u1eabu bi\u1ec3u theo quy \u0111\u1ecbnh;<\/FONT><\/P>

b) Kh\u00f4ng th\u1ef1c hi\u1ec7n \u0111\u0103ng k\u00fd ng\u01b0\u1eddi \u0111\u01b0\u1ee3c u\u1ef7 quy\u1ec1n c\u00f4ng b\u1ed1 th\u00f4ng tin; kh\u00f4ng th\u00f4ng b\u00e1o, th\u00f4ng b\u00e1o kh\u00f4ng \u0111\u00fang th\u1eddi h\u1ea1n v\u1ec1 vi\u1ec7c thay \u0111\u1ed5i ng\u01b0\u1eddi \u0111\u01b0\u1ee3c u\u1ef7 quy\u1ec1n c\u00f4ng b\u1ed1 th\u00f4ng tin theo quy \u0111\u1ecbnh.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n t\u1eeb 10.000.000 \u0111\u1ed3ng \u0111\u1ebfn 30.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh, c\u00f4ng ty \u0111\u1ea1i ch\u00fang, t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, t\u1ed5 ch\u1ee9c \u0111\u0103ng k\u00fd giao d\u1ecbch, c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n, Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n v\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n th\u1ef1c hi\u1ec7n m\u1ed9t trong nh\u1eefng h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) T\u1ed5 ch\u1ee9c c\u00f4ng b\u1ed1 th\u00f4ng tin tr\u00ean c\u00e1c ph\u01b0\u01a1ng ti\u1ec7n c\u00f4ng b\u1ed1 th\u00f4ng tin kh\u00f4ng \u0111\u00fang v\u1edbi quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt;<\/FONT><\/P>

b) Ng\u01b0\u1eddi c\u00f4ng b\u1ed1 th\u00f4ng tin kh\u00f4ng \u0111\u1ee7 th\u1ea9m quy\u1ec1n theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt;<\/FONT><\/P>

c) Kh\u00f4ng l\u1eadp trang th\u00f4ng tin \u0111i\u1ec7n t\u1eed v\u00e0 c\u1eadp nh\u1eadt th\u00f4ng tin c\u00f4ng b\u1ed1 tr\u00ean trang th\u00f4ng tin \u0111i\u1ec7n t\u1eed \u0111\u00f3 theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt;<\/FONT><\/P>

d) Kh\u00f4ng b\u1ea3o qu\u1ea3n, l\u01b0u gi\u1eef th\u00f4ng tin c\u00f4ng b\u1ed1 theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt.<\/FONT><\/P>

3. Ph\u1ea1t ti\u1ec1n t\u1eeb 50.000.000 \u0111\u1ed3ng \u0111\u1ebfn 70.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh, c\u00f4ng ty \u0111\u1ea1i ch\u00fang, t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, t\u1ed5 ch\u1ee9c \u0111\u0103ng k\u00fd giao d\u1ecbch, c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n, Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n v\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n th\u1ef1c hi\u1ec7n m\u1ed9t trong nh\u1eefng h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Kh\u00f4ng th\u1ef1c hi\u1ec7n c\u00f4ng b\u1ed1 th\u00f4ng tin theo quy \u0111\u1ecbnh ho\u1eb7c theo y\u00eau c\u1ea7u; c\u00f4ng b\u1ed1 th\u00f4ng tin kh\u00f4ng k\u1ecbp th\u1eddi, \u0111\u1ea7y \u0111\u1ee7 n\u1ed9i dung theo quy \u0111\u1ecbnh;<\/FONT><\/P>

b) Kh\u00f4ng th\u1ef1c hi\u1ec7n x\u00e1c nh\u1eadn ho\u1eb7c \u0111\u00ednh ch\u00ednh th\u00f4ng tin ho\u1eb7c th\u1ef1c hi\u1ec7n kh\u00f4ng \u0111\u00fang th\u1eddi h\u1ea1n theo quy \u0111\u1ecbnh khi nh\u1eadn \u0111\u01b0\u1ee3c th\u00f4ng tin l\u00e0m \u1ea3nh h\u01b0\u1edfng \u0111\u1ebfn gi\u00e1 ch\u1ee9ng kho\u00e1n ho\u1eb7c khi nh\u1eadn \u0111\u01b0\u1ee3c y\u00eau c\u1ea7u th\u1ef1c hi\u1ec7n x\u00e1c nh\u1eadn ho\u1eb7c \u0111\u00ednh ch\u00ednh th\u00f4ng tin c\u1ee7a \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc.<\/FONT><\/P>

4. Ph\u1ea1t ti\u1ec1n t\u1eeb 70.000.000 \u0111\u1ed3ng \u0111\u1ebfn 90.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh, c\u00f4ng ty \u0111\u1ea1i ch\u00fang, t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, t\u1ed5 ch\u1ee9c \u0111\u0103ng k\u00fd giao d\u1ecbch, c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, S\u1edf Giao d\u1ecbch ch\u1ee9ng kho\u00e1n, Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n v\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Kh\u00f4ng c\u00f4ng b\u1ed1 th\u00f4ng tin ho\u1eb7c c\u00f4ng b\u1ed1 th\u00f4ng tin kh\u00f4ng k\u1ecbp th\u1eddi, kh\u00f4ng \u0111\u1ea7y \u0111\u1ee7 khi x\u1ea3y ra c\u00e1c s\u1ef1 ki\u1ec7n ph\u1ea3i c\u00f4ng b\u1ed1 th\u00f4ng tin b\u1ea5t th\u01b0\u1eddng theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt;<\/FONT><\/P>

b) C\u00f4ng b\u1ed1 th\u00f4ng tin sai l\u1ec7ch;<\/FONT><\/P>

c) L\u00e0m l\u1ed9 t\u00e0i li\u1ec7u, s\u1ed1 li\u1ec7u b\u00ed m\u1eadt thu\u1ed9c th\u00f4ng tin kh\u00f4ng c\u00f4ng b\u1ed1 ho\u1eb7c ch\u01b0a c\u00f4ng b\u1ed1.<\/FONT><\/P>

5. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3: <\/FONT><\/P>

<\/SPAN>Bu\u1ed9c hu\u1ef7 b\u1ecf ho\u1eb7c c\u1ea3i ch\u00ednh th\u00f4ng tin.<\/SPAN><\/FONT><\/P>

\u0110i\u1ec1u 34. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 b\u00e1o c\u00e1o<\/FONT><\/B><\/P><\/SPAN>

1. Ph\u1ea1t c\u1ea3nh c\u00e1o ho\u1eb7c ph\u1ea1t ti\u1ec1n t\u1eeb 5.000.000 \u0111\u1ed3ng \u0111\u1ebfn 10.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n, Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n, c\u00f4ng ty \u0111\u1ea1i ch\u00fang, t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh, t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, t\u1ed5 ch\u1ee9c \u0111\u0103ng k\u00fd giao d\u1ecbch, c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t v\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n th\u1ef1c hi\u1ec7n m\u1ed9t trong nh\u1eefng h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Kh\u00f4ng th\u1ef1c hi\u1ec7n b\u00e1o c\u00e1o \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc, S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n v\u1ec1 nh\u1eefng n\u1ed9i dung th\u00f4ng tin \u0111\u00e3 \u0111\u01b0\u1ee3c c\u00f4ng b\u1ed1 theo \u0111\u00fang quy \u0111\u1ecbnh;<\/FONT><\/P>

b) B\u00e1o c\u00e1o kh\u00f4ng \u0111\u00fang m\u1eabu bi\u1ec3u quy \u0111\u1ecbnh.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n t\u1eeb 10.000.000 \u0111\u1ed3ng \u0111\u1ebfn 30.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi S\u1edf Giao d\u1ecbch ch\u1ee9ng kho\u00e1n, Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n, c\u00f4ng ty \u0111\u1ea1i ch\u00fang, t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh, t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, t\u1ed5 ch\u1ee9c \u0111\u0103ng k\u00fd giao d\u1ecbch, c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t v\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n th\u1ef1c hi\u1ec7n m\u1ed9t trong nh\u1eefng h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) B\u00e1o c\u00e1o kh\u00f4ng \u0111\u1ea7y \u0111\u1ee7, kh\u00f4ng \u0111\u00fang th\u1eddi h\u1ea1n theo quy \u0111\u1ecbnh;<\/FONT><\/P>

b) Kh\u00f4ng b\u1ea3o qu\u1ea3n, l\u01b0u gi\u1eef th\u00f4ng tin \u0111\u00e3 b\u00e1o c\u00e1o theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt.<\/FONT><\/P>

3. Ph\u1ea1t ti\u1ec1n t\u1eeb 50.000.000 \u0111\u1ed3ng \u0111\u1ebfn 70.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n, Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n, c\u00f4ng ty \u0111\u1ea1i ch\u00fang, t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh, t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, t\u1ed5 ch\u1ee9c \u0111\u0103ng k\u00fd giao d\u1ecbch, c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t v\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n th\u1ef1c hi\u1ec7n m\u1ed9t trong nh\u1eefng h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Kh\u00f4ng b\u00e1o c\u00e1o theo quy \u0111\u1ecbnh ho\u1eb7c kh\u00f4ng th\u1ef1c hi\u1ec7n b\u00e1o c\u00e1o theo y\u00eau c\u1ea7u;<\/FONT><\/P>

b) B\u00e1o c\u00e1o c\u00f3 n\u1ed9i dung sai l\u1ec7ch.<\/FONT><\/P>

4. Ph\u1ea1t ti\u1ec1n t\u1eeb 70.000.000 \u0111\u1ed3ng \u0111\u1ebfn 90.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n, Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n, c\u00f4ng ty \u0111\u1ea1i ch\u00fang, t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh, t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, t\u1ed5 ch\u1ee9c \u0111\u0103ng k\u00fd giao d\u1ecbch, c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t v\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Kh\u00f4ng b\u00e1o c\u00e1o ho\u1eb7c b\u00e1o c\u00e1o kh\u00f4ng k\u1ecbp th\u1eddi khi x\u1ea3y ra c\u00e1c s\u1ef1 ki\u1ec7n b\u1ea5t th\u01b0\u1eddng c\u00f3 \u1ea3nh h\u01b0\u1edfng nghi\u00eam tr\u1ecdng \u0111\u1ebfn kh\u1ea3 n\u0103ng t\u00e0i ch\u00ednh, ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch, kinh doanh, d\u1ecbch v\u1ee5 ch\u1ee9ng kho\u00e1n;<\/FONT><\/P>

b) Ng\u1eebng ho\u1ea1t \u0111\u1ed9ng m\u00e0 kh\u00f4ng b\u00e1o c\u00e1o.<\/FONT><\/P>

5. Bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3: <\/FONT><\/P>

Bu\u1ed9c c\u1ea3i ch\u00ednh th\u00f4ng tin sai l\u1ec7ch.<\/FONT><\/P>

M\u1ee5c 9<\/FONT><\/B><\/P><\/SPAN>

H\u00c0NH VI VI PH\u1ea0M QUY \u0110\u1ecaNH V\u1ec0 KI\u1ec2M TO\u00c1N T\u1ed4 CH\u1ee8C PH\u00c1T H\u00c0NH, <\/FONT><\/B><\/P>

T\u1ed4 CH\u1ee8C NI\u00caM Y\u1ebeT V\u00c0 T\u1ed4 CH\u1ee8C KINH DOANH CH\u1ee8NG KHO\u00c1N<\/FONT><\/B><\/P>

\u0110i\u1ec1u 35. Vi ph\u1ea1m quy \u0111\u1ecbnh v\u1ec1 ki\u1ec3m to\u00e1n t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh, t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft v\u00e0 t\u1ed5 ch\u1ee9c kinh doanh ch\u1ee9ng kho\u00e1n<\/FONT><\/B><\/P><\/SPAN>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 30.000.000 \u0111\u1ed3ng \u0111\u1ebfn 50.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c ki\u1ec3m to\u00e1n v\u00e0 ki\u1ec3m to\u00e1n vi\u00ean th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Kh\u00f4ng th\u00f4ng b\u00e1o cho t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh, t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, t\u1ed5 ch\u1ee9c kinh doanh ch\u1ee9ng kho\u00e1n khi ph\u00e1t hi\u1ec7n c\u00e1c t\u1ed5 ch\u1ee9c n\u00e0y kh\u00f4ng tu\u00e2n th\u1ee7 ph\u00e1p lu\u1eadt v\u00e0 c\u00e1c quy \u0111\u1ecbnh c\u00f3 li\u00ean quan \u0111\u1ebfn b\u00e1o c\u00e1o t\u00e0i ch\u00ednh \u0111\u01b0\u1ee3c ki\u1ec3m to\u00e1n v\u00e0 ki\u1ebfn ngh\u1ecb cho c\u00e1c t\u1ed5 ch\u1ee9c n\u00e0y c\u00f3 bi\u1ec7n ph\u00e1p ng\u0103n ng\u1eeba, s\u1eeda ch\u1eefa trong qu\u00e1 tr\u00ecnh ki\u1ec3m to\u00e1n;<\/FONT><\/P>

b) Kh\u00f4ng gi\u1ea3i tr\u00ecnh, cung c\u1ea5p th\u00f4ng tin, s\u1ed1 li\u1ec7u li\u00ean quan \u0111\u1ebfn ho\u1ea1t \u0111\u1ed9ng ki\u1ec3m to\u00e1n theo y\u00eau c\u1ea7u c\u1ee7a \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n t\u1eeb 50.000.000 \u0111\u1ed3ng \u0111\u1ebfn 70.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c ki\u1ec3m to\u00e1n v\u00e0 ki\u1ec3m to\u00e1n vi\u00ean th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Kh\u00f4ng ghi \u00fd ki\u1ebfn v\u00e0o b\u00e1o c\u00e1o ki\u1ec3m to\u00e1n v\u1ec1 nh\u1eefng sai ph\u1ea1m c\u1ee7a t\u1ed5 ch\u1ee9c \u0111\u01b0\u1ee3c ki\u1ec3m to\u00e1n ch\u01b0a \u0111\u01b0\u1ee3c x\u1eed l\u00fd theo quy \u0111\u1ecbnh c\u1ee7a chu\u1ea9n m\u1ef1c ki\u1ec3m to\u00e1n;<\/FONT><\/P>

b) Kh\u00f4ng th\u00f4ng b\u00e1o, th\u00f4ng b\u00e1o kh\u00f4ng k\u1ecbp th\u1eddi cho \u0111\u01a1n v\u1ecb \u0111\u01b0\u1ee3c ki\u1ec3m to\u00e1n v\u00e0 cho ng\u01b0\u1eddi th\u1ee9 ba theo quy \u0111\u1ecbnh c\u1ee7a chu\u1ea9n m\u1ef1c ki\u1ec3m to\u00e1n; kh\u00f4ng b\u00e1o c\u00e1o, b\u00e1o c\u00e1o kh\u00f4ng k\u1ecbp th\u1eddi cho \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc khi c\u00f3 nghi ng\u1edd ho\u1eb7c ph\u00e1t hi\u1ec7n t\u1ed5 ch\u1ee9c \u0111\u01b0\u1ee3c ki\u1ec3m to\u00e1n c\u00f3 sai ph\u1ea1m tr\u1ecdng y\u1ebfu do kh\u00f4ng tu\u00e2n th\u1ee7 ph\u00e1p lu\u1eadt v\u00e0 c\u00e1c quy \u0111\u1ecbnh c\u00f3 li\u00ean quan \u0111\u1ebfn b\u00e1o c\u00e1o t\u00e0i ch\u00ednh \u0111\u01b0\u1ee3c ki\u1ec3m to\u00e1n sau khi ph\u00e1t h\u00e0nh b\u00e1o c\u00e1o ki\u1ec3m to\u00e1n.<\/FONT><\/P>

3. Ph\u1ea1t ti\u1ec1n t\u1eeb 70.000.000 \u0111\u1ed3ng \u0111\u1ebfn 100.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c ki\u1ec3m to\u00e1n v\u00e0 ki\u1ec3m to\u00e1n vi\u00ean l\u1eadp b\u00e1o c\u00e1o ki\u1ec3m to\u00e1n kh\u00f4ng trung th\u1ef1c, kh\u00f4ng ch\u00ednh x\u00e1c, kh\u00f4ng \u0111\u1ea7y \u0111\u1ee7 th\u00f4ng tin c\u1ea7n thi\u1ebft theo quy \u0111\u1ecbnh.<\/FONT><\/P>

4. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung:<\/FONT><\/P>

\u0110\u00ecnh ch\u1ec9 c\u00f3 th\u1eddi h\u1ea1n ho\u1eb7c hu\u1ef7 b\u1ecf t\u01b0 c\u00e1ch \u0111\u01b0\u1ee3c ch\u1ea5p thu\u1eadn ki\u1ec3m to\u00e1n c\u1ee7a t\u1ed5 ch\u1ee9c ki\u1ec3m to\u00e1n, ki\u1ec3m to\u00e1n vi\u00ean do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 1, 2 v\u00e0 3 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P><\/SPAN>

 M\u1ee5c 10<\/FONT><\/B><\/P>

H\u00c0NH VI VI PH\u1ea0M QUY \u0110\u1ecaNH V\u1ec0 THANH TRA, KI\u1ec2M TRA <\/FONT><\/B><\/P>

C\u1ee6A C\u01a0 QUAN NH\u00c0 N\u01af\u1edaC C\u00d3 TH\u1ea8M QUY\u1ec0N<\/FONT><\/B><\/P>

\u0110i\u1ec1u 36. H\u00e0nh vi c\u1ea3n tr\u1edf vi\u1ec7c thanh tra, ki\u1ec3m tra <\/FONT><\/B><\/P><\/SPAN>

1. Ph\u1ea1t ti\u1ec1n t\u1eeb 30.000.000 \u0111\u1ed3ng \u0111\u1ebfn 50.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty \u0111\u1ea1i ch\u00fang, t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh, t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t, S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n, Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n v\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n kh\u00e1c c\u00f3 li\u00ean quan \u0111\u1ebfn ho\u1ea1t \u0111\u1ed9ng ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n m\u1ed9t trong c\u00e1c h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) T\u1eeb ch\u1ed1i cung c\u1ea5p th\u00f4ng tin, t\u00e0i li\u1ec7u; cung c\u1ea5p th\u00f4ng tin, t\u00e0i li\u1ec7u, d\u1eef li\u1ec7u \u0111i\u1ec7n t\u1eed kh\u00f4ng \u0111\u1ea7y \u0111\u1ee7, k\u1ecbp th\u1eddi cho \u0111o\u00e0n thanh tra, ki\u1ec3m tra ho\u1eb7c ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n;<\/FONT><\/P>

b) C\u1ea3n tr\u1edf, g\u00e2y kh\u00f3 kh\u0103n ho\u1eb7c tr\u1ed1n tr\u00e1nh vi\u1ec7c thanh tra, ki\u1ec3m tra c\u1ee7a ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n;<\/FONT><\/P>

c) C\u1ed1 \u00fd tr\u00ec ho\u00e3n, tr\u1ed1n tr\u00e1nh, kh\u00f4ng thi h\u00e0nh quy\u1ebft \u0111\u1ecbnh h\u00e0nh ch\u00ednh c\u1ee7a ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n; kh\u00f4ng th\u1ef1c hi\u1ec7n c\u00e1c y\u00eau c\u1ea7u, k\u1ebft lu\u1eadn, quy\u1ebft \u0111\u1ecbnh c\u1ee7a \u0111o\u00e0n thanh tra, ki\u1ec3m tra.<\/FONT><\/P>

2. Ph\u1ea1t ti\u1ec1n t\u1eeb 50.000.000 \u0111\u1ed3ng \u0111\u1ebfn 70.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty \u0111\u1ea1i ch\u00fang, t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh, t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t, S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n, Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n v\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n kh\u00e1c c\u00f3 li\u00ean quan \u0111\u1ebfn ho\u1ea1t \u0111\u1ed9ng ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n g\u00e2y c\u1ea3n tr\u1edf ho\u1ea1t \u0111\u1ed9ng thanh tra, s\u1eed d\u1ee5ng b\u1ea1o l\u1ef1c, uy hi\u1ebfp th\u00e0nh vi\u00ean \u0111o\u00e0n thanh tra, ki\u1ec3m tra trong khi th\u1ef1c hi\u1ec7n nhi\u1ec7m v\u1ee5.<\/FONT><\/P>

3. Ph\u1ea1t ti\u1ec1n t\u1eeb 70.000.000 \u0111\u1ed3ng \u0111\u1ebfn 100.000.000 \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi c\u00f4ng ty \u0111\u1ea1i ch\u00fang, t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh, t\u1ed5 ch\u1ee9c ni\u00eam y\u1ebft, c\u00f4ng ty ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, c\u00f4ng ty \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t, S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n, Trung t\u00e2m l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n v\u00e0 c\u00e1c t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n kh\u00e1c c\u00f3 li\u00ean quan \u0111\u1ebfn ho\u1ea1t \u0111\u1ed9ng ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n m\u1ed9t trong nh\u1eefng h\u00e0nh vi vi ph\u1ea1m sau:<\/FONT><\/P>

a) Che gi\u1ea5u, s\u1eeda ch\u1eefa ch\u1ee9ng t\u1eeb, t\u00e0i li\u1ec7u, s\u1ed5 s\u00e1ch, d\u1eef li\u1ec7u \u0111i\u1ec7n t\u1eed ho\u1eb7c l\u00e0m thay \u0111\u1ed5i tang v\u1eadt trong khi \u0111ang b\u1ecb thanh tra, ki\u1ec3m tra;<\/FONT><\/P>

b) T\u1ef1 \u00fd th\u00e1o b\u1ecf, t\u1ea9u t\u00e1n ho\u1eb7c c\u00f3 h\u00e0nh vi kh\u00e1c l\u00e0m thay \u0111\u1ed5i t\u00ecnh tr\u1ea1ng ni\u00eam phong ti\u1ec1n, ch\u1ee9ng kho\u00e1n, s\u1ed5 s\u00e1ch, h\u1ed3 s\u01a1, ch\u1ee9ng t\u1eeb k\u1ebf to\u00e1n ho\u1eb7c c\u00e1c tang v\u1eadt, ph\u01b0\u01a1ng ti\u1ec7n b\u1ecb ni\u00eam phong kh\u00e1c. <\/FONT><\/P>

4. H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung:<\/FONT><\/P>

\u0110\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng; thu h\u1ed3i gi\u1ea5y ph\u00e9p, gi\u1ea5y ch\u1ee9ng nh\u1eadn, ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n \u0111\u1ed1i v\u1edbi t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 3 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P><\/SPAN>

 Ch\u01b0\u01a1ng III<\/FONT><\/B><\/P>

TH\u1ea8M QUY\u1ec0N V\u00c0 TH\u1ee6 T\u1ee4C X\u1eec PH\u1ea0T VI PH\u1ea0M H\u00c0NH CH\u00cdNH<\/FONT><\/B><\/P>

\u0110i\u1ec1u 37. Th\u1ea9m quy\u1ec1n x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh<\/FONT><\/B><\/P><\/SPAN>

1. Ch\u00e1nh Thanh tra \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc c\u00f3 quy\u1ec1n:<\/FONT><\/P>

a) Ph\u1ea1t c\u1ea3nh c\u00e1o;<\/FONT><\/P>

b) Ph\u1ea1t ti\u1ec1n t\u1ed1i \u0111a \u0111\u1ebfn 70.000.000 \u0111\u1ed3ng.<\/FONT><\/P>

2. Ch\u1ee7 t\u1ecbch \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc c\u00f3 quy\u1ec1n:<\/FONT><\/P>

a) Ph\u1ea1t c\u1ea3nh c\u00e1o;<\/FONT><\/P>

b) Ph\u1ea1t ti\u1ec1n t\u1ed1i \u0111a \u0111\u1ebfn 500.000.000 \u0111\u1ed3ng;<\/FONT><\/P>

c) \u0110\u1ed1i v\u1edbi c\u00e1c h\u00e0nh vi vi ph\u1ea1m quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 3 \u0110i\u1ec1u 7, kho\u1ea3n 5 \u0110i\u1ec1u 8 v\u00e0 kho\u1ea3n 2 \u0110i\u1ec1u 12 Ngh\u1ecb \u0111\u1ecbnh n\u00e0y \u0111\u01b0\u1ee3c x\u1eed ph\u1ea1t theo c\u00e1c quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt hi\u1ec7n h\u00e0nh;<\/FONT><\/P>

d) \u00c1p d\u1ee5ng c\u00e1c h\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung v\u00e0 c\u00e1c bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3 theo quy \u0111\u1ecbnh t\u1ea1i Ngh\u1ecb \u0111\u1ecbnh n\u00e0y.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 38. \u1ee6y quy\u1ec1n x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh<\/FONT><\/B><\/P><\/SPAN>

1. Nh\u1eefng ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh quy \u0111\u1ecbnh t\u1ea1i \u0110i\u1ec1u 37 Ngh\u1ecb \u0111\u1ecbnh n\u00e0y \u0111\u01b0\u1ee3c \u1ee7y quy\u1ec1n cho c\u1ea5p ph\u00f3 x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh theo th\u1ea9m quy\u1ec1n c\u1ee7a m\u00ecnh. Vi\u1ec7c u\u1ef7 quy\u1ec1n x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh ph\u1ea3i \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n b\u1eb1ng v\u0103n b\u1ea3n v\u00e0 ph\u1ea3i x\u00e1c \u0111\u1ecbnh r\u00f5 ph\u1ea1m vi, n\u1ed9i dung v\u00e0 th\u1eddi h\u1ea1n u\u1ef7 quy\u1ec1n.<\/FONT><\/P>

2. C\u1ea5p ph\u00f3 \u0111\u01b0\u1ee3c u\u1ef7 quy\u1ec1n x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh ph\u1ea3i ch\u1ecbu tr\u00e1ch nhi\u1ec7m v\u1ec1 quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh c\u1ee7a m\u00ecnh tr\u01b0\u1edbc c\u1ea5p tr\u01b0\u1edfng v\u00e0 tr\u01b0\u1edbc ph\u00e1p lu\u1eadt. Ng\u01b0\u1eddi \u0111\u01b0\u1ee3c u\u1ef7 quy\u1ec1n kh\u00f4ng \u0111\u01b0\u1ee3c u\u1ef7 quy\u1ec1n ti\u1ebfp cho b\u1ea5t k\u1ef3 c\u00e1 nh\u00e2n n\u00e0o kh\u00e1c.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 39. \u0110\u00ecnh ch\u1ec9 h\u00e0nh vi vi ph\u1ea1m h\u00e0nh ch\u00ednh<\/FONT><\/B><\/P><\/SPAN>

Khi ph\u00e1t hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m h\u00e0nh ch\u00ednh, ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n \u0111ang thi h\u00e0nh c\u00f4ng v\u1ee5 ph\u1ea3i ra quy\u1ebft \u0111\u1ecbnh \u0111\u00ecnh ch\u1ec9 ngay h\u00e0nh vi vi ph\u1ea1m h\u00e0nh ch\u00ednh.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 40. L\u1eadp bi\u00ean b\u1ea3n vi ph\u1ea1m h\u00e0nh ch\u00ednh<\/FONT><\/B><\/P><\/SPAN>

1. Khi ph\u00e1t hi\u1ec7n vi ph\u1ea1m h\u00e0nh ch\u00ednh thu\u1ed9c l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n, ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n \u0111ang thi h\u00e0nh c\u00f4ng v\u1ee5 ph\u1ea3i k\u1ecbp th\u1eddi l\u1eadp bi\u00ean b\u1ea3n vi ph\u1ea1m h\u00e0nh ch\u00ednh.<\/FONT><\/P>

2. Bi\u00ean b\u1ea3n \u0111\u01b0\u1ee3c l\u1eadp \u00edt nh\u1ea5t 02 b\u1ea3n v\u00e0 ph\u1ea3i c\u00f3 \u0111\u1ea7y \u0111\u1ee7 ch\u1eef k\u00fd theo quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 3 \u0110i\u1ec1u 55 c\u1ee7a Ph\u00e1p l\u1ec7nh X\u1eed l\u00fd vi ph\u1ea1m h\u00e0nh ch\u00ednh.<\/FONT><\/P>

3. Bi\u00ean b\u1ea3n l\u1eadp xong ph\u1ea3i \u0111\u01b0\u1ee3c giao cho t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n vi ph\u1ea1m m\u1ed9t b\u1ea3n. N\u1ebfu v\u1ee5 vi ph\u1ea1m v\u01b0\u1ee3t qu\u00e1 th\u1ea9m quy\u1ec1n x\u1eed ph\u1ea1t c\u1ee7a ng\u01b0\u1eddi l\u1eadp bi\u00ean b\u1ea3n th\u00ec trong th\u1eddi h\u1ea1n 03 ng\u00e0y l\u00e0m vi\u1ec7c, k\u1ec3 t\u1eeb ng\u00e0y l\u1eadp bi\u00ean b\u1ea3n vi ph\u1ea1m h\u00e0nh ch\u00ednh, ng\u01b0\u1eddi l\u1eadp bi\u00ean b\u1ea3n ph\u1ea3i g\u1eedi bi\u00ean b\u1ea3n vi ph\u1ea1m h\u00e0nh ch\u00ednh (b\u1ea3n g\u1ed1c) v\u00e0 to\u00e0n b\u1ed9 t\u00e0i li\u1ec7u, h\u1ed3 s\u01a1 c\u00f3 li\u00ean quan \u0111\u1ebfn h\u00e0nh vi vi ph\u1ea1m \u0111\u1ebfn ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n x\u1eed ph\u1ea1t \u0111\u1ec3 ti\u1ebfn h\u00e0nh x\u1eed ph\u1ea1t.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 41. Quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t<\/FONT><\/B><\/P><\/SPAN>

1. Quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t ph\u1ea3i l\u1eadp th\u00e0nh \u00edt nh\u1ea5t 05 b\u1ea3n theo m\u1eabu quy \u0111\u1ecbnh (\u0111\u1ed1i v\u1edbi h\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t c\u1ea3nh c\u00e1o) v\u00e0 l\u1eadp th\u00e0nh \u00edt nh\u1ea5t 06 b\u1ea3n theo m\u1eabu quy \u0111\u1ecbnh (\u0111\u1ed1i v\u1edbi h\u00ecnh th\u1ee9c ph\u1ea1t ti\u1ec1n).<\/FONT><\/P>

2. Th\u1eddi h\u1ea1n ra quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh l\u00e0 10 ng\u00e0y l\u00e0m vi\u1ec7c, k\u1ec3 t\u1eeb ng\u00e0y l\u1eadp bi\u00ean b\u1ea3n vi ph\u1ea1m h\u00e0nh ch\u00ednh; \u0111\u1ed1i v\u1edbi v\u1ee5 vi\u1ec7c c\u00f3 nhi\u1ec1u t\u00ecnh ti\u1ebft ph\u1ee9c t\u1ea1p th\u00ec th\u1eddi h\u1ea1n ra quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t l\u00e0 30 ng\u00e0y, k\u1ec3 t\u1eeb ng\u00e0y l\u1eadp bi\u00ean b\u1ea3n vi ph\u1ea1m h\u00e0nh ch\u00ednh.<\/FONT><\/P>

3. Tr\u01b0\u1eddng h\u1ee3p c\u1ea7n c\u00f3 th\u00eam th\u1eddi gian \u0111\u1ec3 x\u00e1c minh, thu th\u1eadp ch\u1ee9ng c\u1ee9 th\u00ec ch\u1eadm nh\u1ea5t l\u00e0 10 ng\u00e0y, tr\u01b0\u1edbc khi h\u1ebft th\u1eddi h\u1ea1n \u0111\u01b0\u1ee3c quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 2 \u0110i\u1ec1u n\u00e0y, ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n ph\u1ea3i b\u00e1o c\u00e1o th\u1ee7 tr\u01b0\u1edfng tr\u1ef1c ti\u1ebfp c\u1ee7a m\u00ecnh b\u1eb1ng v\u0103n b\u1ea3n \u0111\u1ec3 xin gia h\u1ea1n. Vi\u1ec7c gia h\u1ea1n ph\u1ea3i b\u1eb1ng v\u0103n b\u1ea3n; th\u1eddi gian gia h\u1ea1n kh\u00f4ng qu\u00e1 30 ng\u00e0y. Qu\u00e1 th\u1eddi h\u1ea1n n\u00f3i tr\u00ean ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n x\u1eed ph\u1ea1t kh\u00f4ng \u0111\u01b0\u1ee3c quy\u1ec1n ra quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t; trong tr\u01b0\u1eddng h\u1ee3p kh\u00f4ng ra quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t th\u00ec v\u1eabn c\u00f3 th\u1ec3 \u00e1p d\u1ee5ng c\u00e1c bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3 quy \u0111\u1ecbnh t\u1ea1i Ngh\u1ecb \u0111\u1ecbnh n\u00e0y.<\/FONT><\/P>

4. Quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t ph\u1ea3i \u0111\u01b0\u1ee3c g\u1eedi cho t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n b\u1ecb x\u1eed ph\u1ea1t v\u00e0 c\u01a1 quan thu ti\u1ec1n ph\u1ea1t trong th\u1eddi h\u1ea1n 03 ng\u00e0y, k\u1ec3 t\u1eeb ng\u00e0y ra quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 42. Th\u1ee7 t\u1ee5c ph\u1ea1t ti\u1ec1n<\/FONT><\/B><\/P><\/SPAN>

1. C\u00e1c tr\u01b0\u1eddng h\u1ee3p ph\u1ea1t ti\u1ec1n ph\u1ea3i th\u1ef1c hi\u1ec7n theo \u0111\u00fang th\u1ee7 t\u1ee5c quy \u0111\u1ecbnh t\u1ea1i c\u00e1c \u0110i\u1ec1u 40 v\u00e0 41 Ngh\u1ecb \u0111\u1ecbnh n\u00e0y. Trong th\u1eddi h\u1ea1n 10 ng\u00e0y l\u00e0m vi\u1ec7c, k\u1ec3 t\u1eeb ng\u00e0y \u0111\u01b0\u1ee3c giao quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh, t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n b\u1ecb x\u1eed ph\u1ea1t ti\u1ec1n ph\u1ea3i n\u1ed9p s\u1ed1 ti\u1ec1n ph\u1ea1t \u0111\u01b0\u1ee3c ghi trong quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t v\u00e0o Kho b\u1ea1c Nh\u00e0 n\u01b0\u1edbc v\u00e0 \u0111\u01b0\u1ee3c nh\u1eadn bi\u00ean lai thu ti\u1ec1n ph\u1ea1t. Qu\u00e1 th\u1eddi h\u1ea1n tr\u00ean m\u00e0 t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n b\u1ecb x\u1eed ph\u1ea1t kh\u00f4ng t\u1ef1 nguy\u1ec7n ch\u1ea5p h\u00e0nh quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t th\u00ec b\u1ecb c\u01b0\u1ee1ng ch\u1ebf thi h\u00e0nh.<\/FONT><\/P>

2. Vi\u1ec7c n\u1ed9p ti\u1ec1n ph\u1ea1t nhi\u1ec1u l\u1ea7n \u0111\u01b0\u1ee3c \u00e1p d\u1ee5ng khi c\u00f3 \u0111\u1ee7 c\u00e1c \u0111i\u1ec1u ki\u1ec7n v\u00e0 theo th\u1ee7 t\u1ee5c quy \u0111\u1ecbnh t\u1ea1i \u0110i\u1ec1u 27<\/FONT><\/SPAN> Ngh\u1ecb \u0111\u1ecbnh s\u1ed1 128\/2008\/N\u0110-CP ng\u00e0y 16 th\u00e1ng 12 n\u0103m 2008 c\u1ee7a Ch\u00ednh ph\u1ee7 quy \u0111\u1ecbnh chi ti\u1ebft thi h\u00e0nh m\u1ed9t s\u1ed1 \u0111i\u1ec1u c\u1ee7a Ph\u00e1p l\u1ec7nh X\u1eed l\u00fd vi ph\u1ea1m h\u00e0nh ch\u00ednh n\u0103m 2002 v\u00e0 Ph\u00e1p l\u1ec7nh s\u1eeda \u0111\u1ed5i b\u1ed5 sung m\u1ed9t s\u1ed1 \u0111i\u1ec1u c\u1ee7a Ph\u00e1p l\u1ec7nh X\u1eed l\u00fd vi ph\u1ea1m h\u00e0nh ch\u00ednh n\u0103m 2008.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 43. Th\u1ee7 t\u1ee5c \u0111\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng, thu h\u1ed3i gi\u1ea5y ph\u00e9p, gi\u1ea5y ch\u1ee9ng nh\u1eadn, ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n<\/FONT><\/B><\/P><\/SPAN>

1. Ch\u1ee7 t\u1ecbch \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc c\u00f3 quy\u1ec1n ra quy\u1ebft \u0111\u1ecbnh \u0111\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng, thu h\u1ed3i gi\u1ea5y ph\u00e9p, gi\u1ea5y ch\u1ee9ng nh\u1eadn, ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n.<\/FONT><\/P>

2. Khi th\u1ef1c hi\u1ec7n bi\u1ec7n ph\u00e1p \u0111\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng, ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n x\u1eed ph\u1ea1t ph\u1ea3i ghi r\u00f5 v\u00e0o quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh. Tr\u01b0\u1eddng h\u1ee3p ch\u1ec9 ra quy\u1ebft \u0111\u1ecbnh \u0111\u00ecnh ch\u1ec9 m\u1ed9t ho\u1ea1t \u0111\u1ed9ng nghi\u1ec7p v\u1ee5 c\u1ee5 th\u1ec3 th\u00ec ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n x\u1eed ph\u1ea1t ph\u1ea3i ghi r\u00f5 trong quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t v\u1ec1 nghi\u1ec7p v\u1ee5 b\u1ecb \u0111\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng v\u00e0 th\u1eddi h\u1ea1n \u0111\u00ecnh ch\u1ec9 ho\u1ea1t \u0111\u1ed9ng nghi\u1ec7p v\u1ee5 \u0111\u00f3.<\/FONT><\/P>

3. Tr\u01b0\u1eddng h\u1ee3p thu h\u1ed3i gi\u1ea5y ph\u00e9p, gi\u1ea5y ch\u1ee9ng nh\u1eadn, ch\u1ee9ng ch\u1ec9 h\u00e0nh ngh\u1ec1 ch\u1ee9ng kho\u00e1n, trong quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t ph\u1ea3i ghi r\u00f5: t\u00ean, lo\u1ea1i, s\u1ed1 gi\u1ea5y ph\u00e9p, s\u1ed1 ch\u1ee9ng ch\u1ec9. Tr\u01b0\u1eddng h\u1ee3p ch\u1ec9 ra quy\u1ebft \u0111\u1ecbnh thu h\u1ed3i gi\u1ea5y ph\u00e9p, gi\u1ea5y ch\u1ee9ng nh\u1eadn \u0111\u1ed1i v\u1edbi m\u1ed9t ho\u1eb7c m\u1ed9t s\u1ed1 ho\u1ea1t \u0111\u1ed9ng nghi\u1ec7p v\u1ee5 c\u1ee5 th\u1ec3 th\u00ec ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n x\u1eed ph\u1ea1t ph\u1ea3i ghi r\u00f5 trong quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t. <\/FONT><\/P>

4. Khi ph\u00e1t hi\u1ec7n gi\u1ea5y ph\u00e9p \u0111\u01b0\u1ee3c c\u1ea5p kh\u00f4ng \u0111\u00fang th\u1ea9m quy\u1ec1n ho\u1eb7c c\u00f3 n\u1ed9i dung tr\u00e1i ph\u00e1p lu\u1eadt th\u00ec ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n x\u1eed ph\u1ea1t ph\u1ea3i thu h\u1ed3i ngay \u0111\u1ed3ng th\u1eddi b\u00e1o cho c\u01a1 quan nh\u00e0 n\u01b0\u1edbc c\u00f3 th\u1ea9m quy\u1ec1n c\u1ea5p gi\u1ea5y ph\u00e9p bi\u1ebft.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 44. Th\u1ee7 t\u1ee5c t\u1ecbch thu kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt <\/FONT><\/B><\/P><\/SPAN>

1. Khi ti\u1ebfn h\u00e0nh t\u1ecbch thu kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m h\u00e0nh ch\u00ednh, ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n x\u1eed ph\u1ea1t ph\u1ea3i l\u1eadp bi\u00ean b\u1ea3n theo m\u1eabu quy \u0111\u1ecbnh.<\/FONT><\/P>

2. \u0110\u1ed1i v\u1edbi kho\u1ea3n thu thu\u1ed9c s\u1edf h\u1eefu c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 th\u00ec kh\u00f4ng t\u1ecbch thu m\u00e0 bu\u1ed9c c\u00e1 nh\u00e2n, t\u1ed5 ch\u1ee9c vi ph\u1ea1m ph\u1ea3i tr\u1ea3 l\u1ea1i nh\u00e0 \u0111\u1ea7u t\u01b0. Th\u1ee7 t\u1ee5c t\u1ecbch thu, x\u1eed l\u00fd c\u00e1c kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt do th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m h\u00e0nh ch\u00ednh \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n theo quy \u0111\u1ecbnh t\u1ea1i c\u00e1c \u0110i\u1ec1u 60 v\u00e0 61 c\u1ee7a Ph\u00e1p l\u1ec7nh X\u1eed l\u00fd vi ph\u1ea1m h\u00e0nh ch\u00ednh.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 45. Th\u1ee7 t\u1ee5c bu\u1ed9c hu\u1ef7 b\u1ecf ni\u00eam y\u1ebft, hu\u1ef7 b\u1ecf \u0111\u0103ng k\u00fd giao d\u1ecbch<\/FONT><\/B><\/P><\/SPAN>

1. Bu\u1ed9c hu\u1ef7 b\u1ecf ni\u00eam y\u1ebft, hu\u1ef7 b\u1ecf \u0111\u0103ng k\u00fd giao d\u1ecbch l\u00e0 h\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung do S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n.<\/FONT><\/P>

2. Th\u1ee7 t\u1ee5c hu\u1ef7 b\u1ecf ni\u00eam y\u1ebft, hu\u1ef7 b\u1ecf \u0111\u0103ng k\u00fd giao d\u1ecbch \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n theo quy ch\u1ebf ni\u00eam y\u1ebft, giao d\u1ecbch c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 46. Th\u1ee7 t\u1ee5c \u0111\u00ecnh ch\u1ec9, hu\u1ef7 b\u1ecf ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang<\/FONT><\/B><\/P><\/SPAN>

1. Khi \u00e1p d\u1ee5ng h\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t b\u1ed5 sung l\u00e0 \u0111\u00ecnh ch\u1ec9 c\u00f3 th\u1eddi h\u1ea1n ho\u1eb7c hu\u1ef7 b\u1ecf ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang, ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n x\u1eed ph\u1ea1t ph\u1ea3i ghi r\u00f5 v\u00e0o quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh.<\/FONT><\/P>

2. Th\u1ee7 t\u1ee5c \u0111\u00ecnh ch\u1ec9 v\u00e0 hu\u1ef7 b\u1ecf ch\u00e0o b\u00e1n ch\u1ee9ng kho\u00e1n ra c\u00f4ng ch\u00fang th\u1ef1c hi\u1ec7n theo quy \u0111\u1ecbnh t\u1ea1i c\u00e1c \u0110i\u1ec1u 22 v\u00e0 23 c\u1ee7a Lu\u1eadt Ch\u1ee9ng kho\u00e1n.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 47. Quy\u1ebft \u0111\u1ecbnh bu\u1ed9c kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3 <\/FONT><\/B>trong tr\u01b0\u1eddng h\u1ee3p kh\u00f4ng ra quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh<\/B><\/FONT><\/P><\/SPAN><\/FONT><\/SPAN>

1. Trong tr\u01b0\u1eddng h\u1ee3p qu\u00e1 th\u1eddi hi\u1ec7u x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh \u0111\u01b0\u1ee3c quy \u0111\u1ecbnh t\u1ea1i \u0110i\u1ec1u 4 c\u1ee7a Ngh\u1ecb \u0111\u1ecbnh n\u00e0y ho\u1eb7c qu\u00e1 th\u1eddi h\u1ea1n ra quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t quy \u0111\u1ecbnh t\u1ea1i \u0110i\u1ec1u 41 Ngh\u1ecb \u0111\u1ecbnh n\u00e0y, ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n kh\u00f4ng \u0111\u01b0\u1ee3c ra quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t, nh\u01b0ng v\u1eabn c\u00f3 th\u1ec3 quy\u1ebft \u0111\u1ecbnh \u00e1p d\u1ee5ng c\u00e1c bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3.<\/FONT><\/P>

2. Quy\u1ebft \u0111\u1ecbnh bu\u1ed9c kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3 ph\u1ea3i b\u1eb1ng v\u0103n b\u1ea3n theo \u0111\u00fang m\u1eabu quy \u0111\u1ecbnh. Trong quy\u1ebft \u0111\u1ecbnh ph\u1ea3i ghi r\u00f5: ng\u00e0y, th\u00e1ng, n\u0103m quy\u1ebft \u0111\u1ecbnh; h\u1ecd t\u00ean, ch\u1ee9c v\u1ee5 c\u1ee7a ng\u01b0\u1eddi quy\u1ebft \u0111\u1ecbnh; h\u1ecd, t\u00ean, \u0111\u1ecba ch\u1ec9, ngh\u1ec1 nghi\u1ec7p c\u1ee7a ng\u01b0\u1eddi vi ph\u1ea1m ho\u1eb7c t\u00ean, \u0111\u1ecba ch\u1ec9 c\u1ee7a t\u1ed5 ch\u1ee9c vi ph\u1ea1m; h\u00e0nh vi vi ph\u1ea1m h\u00e0nh ch\u00ednh; nh\u1eefng t\u00ecnh ti\u1ebft li\u00ean quan \u0111\u1ebfn vi\u1ec7c gi\u1ea3i quy\u1ebft v\u1ee5 vi ph\u1ea1m; \u0111i\u1ec1u, kho\u1ea3n c\u1ee7a v\u0103n b\u1ea3n ph\u00e1p lu\u1eadt \u0111\u01b0\u1ee3c \u00e1p d\u1ee5ng; l\u00fd do kh\u00f4ng \u00e1p d\u1ee5ng h\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t; c\u00e1c bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3 \u0111\u01b0\u1ee3c \u00e1p d\u1ee5ng; th\u1eddi h\u1ea1n thi h\u00e0nh quy\u1ebft \u0111\u1ecbnh kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3; ch\u1eef k\u00fd c\u1ee7a ng\u01b0\u1eddi ra quy\u1ebft \u0111\u1ecbnh.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 48. Th\u1ea9m quy\u1ec1n ra quy\u1ebft \u0111\u1ecbnh c\u01b0\u1ee1ng ch\u1ebf v\u00e0 t\u1ed5 ch\u1ee9c c\u01b0\u1ee1ng ch\u1ebf thi h\u00e0nh quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh<\/FONT><\/B><\/P><\/SPAN>

1. Sau th\u1eddi h\u1ea1n 10 ng\u00e0y, k\u1ec3 t\u1eeb ng\u00e0y \u0111\u01b0\u1ee3c giao quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh m\u00e0 t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n kh\u00f4ng t\u1ef1 nguy\u1ec7n ch\u1ea5p h\u00e0nh quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t th\u00ec Ch\u1ee7 t\u1ecbch \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc c\u00f3 th\u1ea9m quy\u1ec1n ra quy\u1ebft \u0111\u1ecbnh c\u01b0\u1ee1ng ch\u1ebf thi h\u00e0nh quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh v\u00e0 t\u1ed5 ch\u1ee9c th\u1ef1c hi\u1ec7n c\u01b0\u1ee1ng ch\u1ebf.<\/FONT><\/P>

2. T\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n b\u1ecb x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh kh\u00f4ng t\u1ef1 nguy\u1ec7n ch\u1ea5p h\u00e0nh quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t th\u00ec b\u1ecb c\u01b0\u1ee1ng ch\u1ebf thi h\u00e0nh b\u1eb1ng c\u00e1c bi\u1ec7n ph\u00e1p sau:<\/FONT><\/P>

a) Kh\u1ea5u tr\u1eeb m\u1ed9t ph\u1ea7n ti\u1ec1n l\u01b0\u01a1ng ho\u1eb7c m\u1ed9t ph\u1ea7n thu nh\u1eadp, kh\u1ea5u tr\u1eeb ti\u1ec1n t\u1eeb t\u00e0i kho\u1ea3n t\u1ea1i ng\u00e2n h\u00e0ng;<\/FONT><\/P>

b) K\u00ea bi\u00ean t\u00e0i s\u1ea3n c\u00f3 gi\u00e1 tr\u1ecb t\u01b0\u01a1ng \u1ee9ng v\u1edbi s\u1ed1 ti\u1ec1n ph\u1ea1t \u0111\u1ec3 b\u00e1n \u0111\u1ea5u gi\u00e1;<\/FONT><\/P>

c) \u00c1p d\u1ee5ng c\u00e1c bi\u1ec7n ph\u00e1p c\u01b0\u1ee1ng ch\u1ebf kh\u00e1c \u0111\u1ec3 th\u1ef1c hi\u1ec7n t\u1ecbch thu tang v\u1eadt, ph\u01b0\u01a1ng ti\u1ec7n \u0111\u01b0\u1ee3c s\u1eed d\u1ee5ng \u0111\u1ec3 vi ph\u1ea1m h\u00e0nh ch\u00ednh, t\u1ecbch thu to\u00e0n b\u1ed9 kho\u1ea3n thu c\u00f3 \u0111\u01b0\u1ee3c t\u1eeb vi\u1ec7c th\u1ef1c hi\u1ec7n h\u00e0nh vi vi ph\u1ea1m h\u00e0nh ch\u00ednh.<\/FONT><\/P>

3. T\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n b\u1ecb c\u01b0\u1ee1ng ch\u1ebf ph\u1ea3i nghi\u00eam ch\u1ec9nh ch\u1ea5p h\u00e0nh quy\u1ebft \u0111\u1ecbnh c\u01b0\u1ee1ng ch\u1ebf v\u00e0 ph\u1ea3i ch\u1ecbu m\u1ecdi chi ph\u00ed cho vi\u1ec7c t\u1ed5 ch\u1ee9c th\u1ef1c hi\u1ec7n quy\u1ebft \u0111\u1ecbnh c\u01b0\u1ee1ng ch\u1ebf.<\/FONT><\/P>

4. C\u01a1 quan nh\u00e0 n\u01b0\u1edbc, l\u1ef1c l\u01b0\u1ee3ng c\u00f4ng an nh\u00e2n d\u00e2n v\u00e0 \u1ee6y ban nh\u00e2n d\u00e2n c\u00e1c c\u1ea5p c\u00f3 tr\u00e1ch nhi\u1ec7m ph\u1ed1i h\u1ee3p t\u1ed5 ch\u1ee9c thi h\u00e0nh c\u01b0\u1ee1ng ch\u1ebf khi c\u00f3 y\u00eau c\u1ea7u c\u1ee7a ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n ra quy\u1ebft \u0111\u1ecbnh c\u01b0\u1ee1ng ch\u1ebf thi h\u00e0nh quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 1 \u0110i\u1ec1u n\u00e0y.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 49. C\u00f4ng khai c\u00e1c th\u00f4ng tin v\u1ec1 x\u1eed ph\u1ea1t<\/FONT><\/B><\/P><\/SPAN>

Quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c c\u00f4ng b\u1ed1 c\u00f4ng khai tr\u00ean trang tin \u0111i\u1ec7n t\u1eed c\u1ee7a \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 50. Ban h\u00e0nh m\u1eabu bi\u00ean b\u1ea3n, m\u1eabu quy\u1ebft \u0111\u1ecbnh s\u1eed d\u1ee5ng trong x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n<\/B><\/FONT><\/P><\/SPAN>

1. C\u00e1c m\u1eabu bi\u00ean b\u1ea3n v\u00e0 quy\u1ebft \u0111\u1ecbnh \u0111\u1ec3 s\u1eed d\u1ee5ng trong x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c ban h\u00e0nh c\u0103n c\u1ee9 v\u00e0o c\u00e1c \u0110i\u1ec1u 46, 47, 48, 49, 54, 55, 55a, 56, 61, 71, 78, 87, 96 c\u1ee7a Ph\u00e1p l\u1ec7nh X\u1eed l\u00fd vi ph\u1ea1m h\u00e0nh ch\u00ednh.<\/FONT><\/P>

2. B\u1ed9 T\u00e0i ch\u00ednh quy \u0111\u1ecbnh c\u1ee5 th\u1ec3 v\u1ec1 c\u00e1c m\u1eabu bi\u00ean b\u1ea3n v\u00e0 quy\u1ebft \u0111\u1ecbnh \u0111\u1ec3 s\u1eed d\u1ee5ng trong x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n.<\/FONT><\/P><\/SPAN>

Ch\u01b0\u01a1ng IV<\/FONT><\/P>

GI\u00c1M S\u00c1T, KI\u1ec2M TRA TRONG X\u1eec L\u00dd VI PH\u1ea0M <\/FONT><\/B><\/P>

H\u00c0NH CH\u00cdNH, GI\u1ea2I QUY\u1ebeT KHI\u1ebeU N\u1ea0I, T\u1ed0 C\u00c1O V\u1ec0 VI\u1ec6C X\u1eec PH\u1ea0T <\/FONT><\/B><\/P>

VI PH\u1ea0M H\u00c0NH CH\u00cdNH TRONG L\u0128NH V\u1ef0C CH\u1ee8NG KHO\u00c1N <\/FONT><\/B><\/P>

V\u00c0 TH\u1eca TR\u01af\u1edcNG CH\u1ee8NG KHO\u00c1N <\/FONT><\/B><\/P>

\u0110i\u1ec1u 51. Gi\u00e1m s\u00e1t, ki\u1ec3m tra trong x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh<\/FONT><\/B><\/P><\/SPAN>

B\u1ed9 tr\u01b0\u1edfng B\u1ed9 T\u00e0i ch\u00ednh c\u00f3 tr\u00e1ch nhi\u1ec7m th\u01b0\u1eddng xuy\u00ean gi\u00e1m s\u00e1t, ki\u1ec3m tra vi\u1ec7c x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n thu\u1ed9c ph\u1ea1m vi m\u00ecnh qu\u1ea3n l\u00fd; gi\u1ea3i quy\u1ebft k\u1ecbp th\u1eddi khi\u1ebfu n\u1ea1i, t\u1ed1 c\u00e1o trong x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh c\u00f3 li\u00ean quan \u0111\u1ebfn ng\u01b0\u1eddi c\u00f3 th\u1ea9m quy\u1ec1n x\u1eed ph\u1ea1t quy \u0111\u1ecbnh t\u1ea1i \u0110i\u1ec1u 37 Ngh\u1ecb \u0111\u1ecbnh n\u00e0y; x\u1eed l\u00fd ng\u01b0\u1eddi c\u00f3 sai ph\u1ea1m trong x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh thu\u1ed9c ph\u1ea1m vi qu\u1ea3n l\u00fd c\u1ee7a m\u00ecnh v\u00e0 th\u1ef1c hi\u1ec7n ch\u1ebf \u0111\u1ed9 b\u00e1o c\u00e1o v\u1ec1 t\u00ecnh h\u00ecnh vi ph\u1ea1m h\u00e0nh ch\u00ednh thu\u1ed9c l\u0129nh v\u1ef1c m\u00ecnh ph\u1ee5 tr\u00e1ch theo y\u00eau c\u1ea7u c\u1ee7a c\u01a1 quan c\u00f3 th\u1ea9m quy\u1ec1n.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 52. Khi\u1ebfu n\u1ea1i, t\u1ed1 c\u00e1o v\u00e0 gi\u1ea3i quy\u1ebft khi\u1ebfu n\u1ea1i, t\u1ed1 c\u00e1o <\/FONT><\/B><\/P><\/SPAN>

Vi\u1ec7c khi\u1ebfu n\u1ea1i, t\u1ed1 c\u00e1o v\u00e0 gi\u1ea3i quy\u1ebft khi\u1ebfu n\u1ea1i, t\u1ed1 c\u00e1o \u0111\u1ed1i v\u1edbi quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt v\u1ec1 khi\u1ebfu n\u1ea1i, t\u1ed1 c\u00e1o.<\/FONT><\/P><\/SPAN>

Ch\u01b0\u01a1ng V<\/FONT><\/B><\/P>

\u0110I\u1ec0U KHO\u1ea2N THI H\u00c0NH<\/FONT><\/B><\/P>

\u0110i\u1ec1u 53. T\u1ed5 ch\u1ee9c th\u1ef1c hi\u1ec7n<\/FONT><\/B><\/P><\/SPAN>

1. B\u1ed9 tr\u01b0\u1edfng B\u1ed9 T\u00e0i ch\u00ednh ch\u1ecbu tr\u00e1ch nhi\u1ec7m h\u01b0\u1edbng d\u1eabn, ki\u1ec3m tra v\u00e0 gi\u00e1m s\u00e1t vi\u1ec7c thi h\u00e0nh Ngh\u1ecb \u0111\u1ecbnh n\u00e0y.<\/FONT><\/P>

2. Trong tr\u01b0\u1eddng h\u1ee3p ph\u00e1t sinh h\u00e0nh vi vi ph\u1ea1m h\u00e0nh ch\u00ednh m\u1edbi trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n, giao B\u1ed9 T\u00e0i ch\u00ednh quy\u1ebft \u0111\u1ecbnh bi\u1ec7n ph\u00e1p x\u1eed l\u00fd cho ph\u00f9 h\u1ee3p v\u1edbi t\u00ecnh h\u00ecnh th\u1ef1c t\u1ebf v\u00e0 y\u00eau c\u1ea7u qu\u1ea3n l\u00fd nh\u00e0 n\u01b0\u1edbc \u0111\u1ed1i v\u1edbi l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n.<\/FONT><\/P><\/SPAN>

\u0110i\u1ec1u 54. \u0110i\u1ec1u kho\u1ea3n thi h\u00e0nh<\/FONT><\/B><\/P><\/SPAN>

1. Ngh\u1ecb \u0111\u1ecbnh n\u00e0y c\u00f3 hi\u1ec7u l\u1ef1c thi h\u00e0nh k\u1ec3 t\u1eeb ng\u00e0y 20 th\u00e1ng 9 n\u0103m 2010 v\u00e0 thay th\u1ebf Ngh\u1ecb \u0111\u1ecbnh s\u1ed1 36\/2007\/N\u0110-CP ng\u00e0y 08 th\u00e1ng 3 n\u0103m 2007 c\u1ee7a Ch\u00ednh ph\u1ee7 v\u1ec1 x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n. C\u00e1c h\u00e0nh vi vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c ph\u00e1t hi\u1ec7n khi Ngh\u1ecb \u0111\u1ecbnh n\u00e0y c\u00f3 hi\u1ec7u l\u1ef1c thi h\u00e0nh s\u1ebd \u00e1p d\u1ee5ng theo quy \u0111\u1ecbnh t\u1ea1i Ngh\u1ecb \u0111\u1ecbnh n\u00e0y. M\u1ecdi quy \u0111\u1ecbnh tr\u01b0\u1edbc \u0111\u00e2y tr\u00e1i v\u1edbi Ngh\u1ecb \u0111\u1ecbnh n\u00e0y \u0111\u1ec1u b\u1ecb b\u00e3i b\u1ecf.<\/FONT><\/P>

2. C\u00e1c B\u1ed9 tr\u01b0\u1edfng, Th\u1ee7 tr\u01b0\u1edfng c\u01a1 quan ngang B\u1ed9, Th\u1ee7 tr\u01b0\u1edfng c\u01a1 quan thu\u1ed9c Ch\u00ednh ph\u1ee7, Ch\u1ee7 t\u1ecbch \u1ee6y ban nh\u00e2n d\u00e2n t\u1ec9nh, th\u00e0nh ph\u1ed1 tr\u1ef1c thu\u1ed9c Trung \u01b0\u01a1ng ch\u1ecbu tr\u00e1ch nhi\u1ec7m thi h\u00e0nh Ngh\u1ecb \u0111\u1ecbnh n\u00e0y.\/.<\/FONT><\/P><\/SPAN>

<\/FONT> <\/P>

<\/FONT><\/I><\/B> <\/P>

N\u01a1i nh\u1eadn:<\/FONT><\/I><\/B><\/P>

– Ban B\u00ed th\u01b0 Trung \u01b0\u01a1ng \u0110\u1ea3ng;<\/FONT><\/P>

– Th\u1ee7 t\u01b0\u1edbng, c\u00e1c Ph\u00f3 Th\u1ee7 t\u01b0\u1edbng Ch\u00ednh ph\u1ee7;<\/FONT><\/P>

– C\u00e1c B\u1ed9, c\u01a1 quan ngang B\u1ed9, c\u01a1 quan thu\u1ed9c CP;<\/FONT><\/P>

– VP BC\u0110 TW v\u1ec1 ph\u00f2ng, ch\u1ed1ng tham nh\u0169ng;<\/FONT><\/P>

– H\u0110ND, UBND c\u00e1c t\u1ec9nh, TP tr\u1ef1c thu\u1ed9c TW;<\/FONT><\/P>

– V\u0103n ph\u00f2ng TW v\u00e0 c\u00e1c Ban c\u1ee7a \u0110\u1ea3ng;<\/FONT><\/P>

– V\u0103n ph\u00f2ng Ch\u1ee7 t\u1ecbch n\u01b0\u1edbc;<\/FONT><\/P>

– H\u1ed9i \u0111\u1ed3ng D\u00e2n t\u1ed9c v\u00e0 c\u00e1c UB c\u1ee7a Qu\u1ed1c h\u1ed9i;<\/FONT><\/P>

– V\u0103n ph\u00f2ng Qu\u1ed1c h\u1ed9i; <\/FONT><\/P>

– To\u00e0 \u00e1n nh\u00e2n d\u00e2n t\u1ed1i cao;<\/FONT><\/P>

– Vi\u1ec7n Ki\u1ec3m s\u00e1t nh\u00e2n d\u00e2n t\u1ed1i cao;<\/FONT><\/P>

– Ki\u1ec3m to\u00e1n Nh\u00e0 n\u01b0\u1edbc;<\/FONT><\/P>

– UB Gi\u00e1m s\u00e1t t\u00e0i ch\u00ednh QG; <\/FONT><\/P>

– Ng\u00e2n h\u00e0ng Ch\u00ednh s\u00e1ch X\u00e3 h\u1ed9i;<\/FONT><\/P>

– Ng\u00e2n h\u00e0ng Ph\u00e1t tri\u1ec3n Vi\u1ec7t Nam;<\/FONT><\/P>

– \u1ee6y ban TW M\u1eb7t tr\u1eadn T\u1ed5 qu\u1ed1c Vi\u1ec7t Nam;<\/FONT><\/P>

– C\u01a1 quan Trung \u01b0\u01a1ng c\u1ee7a c\u00e1c \u0111o\u00e0n th\u1ec3; <\/FONT><\/P>

– VPCP: BTCN, c\u00e1c PCN, C\u1ed5ng TT\u0110T, <\/FONT><\/P>

  c\u00e1c V\u1ee5, C\u1ee5c, \u0111\u01a1n v\u1ecb tr\u1ef1c thu\u1ed9c, C\u00f4ng b\u00e1o;<\/FONT><\/P>

– L\u01b0u: VT, KTTH (5b).Q<\/FONT><\/P><\/TD>

TM. CH\u00cdNH PH\u1ee6 <\/FONT><\/B><\/P>

TH\u1ee6 T\u01af\u1edaNG<\/FONT><\/B><\/P>

<\/FONT><\/B> <\/P>

(\u0110\u00e3 k\u00fd)<\/FONT><\/B><\/P>

Nguy\u1ec5n T\u1ea5n D\u0169ng<\/FONT><\/B><\/P><\/TD><\/TR><\/TBODY><\/TABLE><\/SPAN><\/SPAN><\/SPAN><\/SPAN><\/TD><\/TR>


<\/FONT><\/TD><\/TR><\/TBODY><\/TABLE><\/p>\n","protected":false},"excerpt":{"rendered":"

CH\u00cdNH PH\u1ee6________S\u1ed1: 85\/2010\/N\u0110-CPC\u1ed8NG H\u00d2A X\u00c3 H\u1ed8I CH\u1ee6 NGH\u0128A VI\u1ec6T NAM \u0110\u1ed9c l\u1eadp \u2013 T\u1ef1 do \u2013 H\u1ea1nh ph\u00fac__________ H\u00e0 N\u1ed9i, ng\u00e0y  02  th\u00e1ng  8  n\u0103m 2010 NGH\u1eca \u0110\u1ecaNHV\u1ec1 x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n_________ CH\u00cdNH PH\u1ee6C\u0103n c\u1ee9 Lu\u1eadt T\u1ed5 ch\u1ee9c Ch\u00ednh ph\u1ee7 ng\u00e0y 25 th\u00e1ng 12 n\u0103m […]<\/p>\n","protected":false},"author":2,"featured_media":18208,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":[],"categories":[71],"tags":[],"_links":{"self":[{"href":"https:\/\/dntieubieuna.vn\/index.php?rest_route=\/wp\/v2\/posts\/18216"}],"collection":[{"href":"https:\/\/dntieubieuna.vn\/index.php?rest_route=\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/dntieubieuna.vn\/index.php?rest_route=\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/dntieubieuna.vn\/index.php?rest_route=\/wp\/v2\/users\/2"}],"replies":[{"embeddable":true,"href":"https:\/\/dntieubieuna.vn\/index.php?rest_route=%2Fwp%2Fv2%2Fcomments&post=18216"}],"version-history":[{"count":0,"href":"https:\/\/dntieubieuna.vn\/index.php?rest_route=\/wp\/v2\/posts\/18216\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/dntieubieuna.vn\/index.php?rest_route=\/wp\/v2\/media\/18208"}],"wp:attachment":[{"href":"https:\/\/dntieubieuna.vn\/index.php?rest_route=%2Fwp%2Fv2%2Fmedia&parent=18216"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/dntieubieuna.vn\/index.php?rest_route=%2Fwp%2Fv2%2Fcategories&post=18216"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/dntieubieuna.vn\/index.php?rest_route=%2Fwp%2Fv2%2Ftags&post=18216"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}