5.2. Mua B\u00e1n C\u1ed5 Phi\u1ebfu \u1ede \u0110\u00e2u?<\/strong><\/span><\/h3>\nVi\u1ec7c mua b\u00e1n c\u1ed5 phi\u1ebfu \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n tr\u00ean s\u00e0n giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/p>\n
\u0110\u1ec3 tham gia v\u00e0o th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n, b\u01b0\u1edbc \u0111\u1ea7u ti\u00ean v\u00e0 quan tr\u1ecdng nh\u1ea5t l\u00e0 m\u1edf m\u1ed9t t\u00e0i kho\u1ea3n giao d\u1ecbch t\u1ea1i m\u1ed9t c\u00f4ng ty ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c c\u1ea5p ph\u00e9p. \u0110\u00e2y kh\u00f4ng ch\u1ec9 l\u00e0 m\u1ed9t y\u00eau c\u1ea7u ph\u00e1p l\u00fd m\u00e0 c\u00f2n l\u00e0 c\u1ea7u n\u1ed1i gi\u00fap nh\u00e0 \u0111\u1ea7u t\u01b0 ti\u1ebfp c\u1eadn v\u1edbi s\u00e0n giao d\u1ecbch ch\u1ee9ng kho\u00e1n. Khi ch\u1ecdn c\u00f4ng ty ch\u1ee9ng kho\u00e1n, n\u00ean xem x\u00e9t c\u00e1c y\u1ebfu t\u1ed1 nh\u01b0 uy t\u00edn, ch\u1ea5t l\u01b0\u1ee3ng d\u1ecbch v\u1ee5 v\u00e0 ph\u00ed giao d\u1ecbch \u0111\u1ec3 \u0111\u1ea3m b\u1ea3o tr\u1ea3i nghi\u1ec7m \u0111\u1ea7u t\u01b0 t\u1ed1t nh\u1ea5t.<\/p>\n
Quy \u0111\u1ecbnh hi\u1ec7n h\u00e0nh cho ph\u00e9p nh\u00e0 \u0111\u1ea7u t\u01b0 m\u1edf nhi\u1ec1u t\u00e0i kho\u1ea3n giao d\u1ecbch t\u1ea1i c\u00e1c c\u00f4ng ty ch\u1ee9ng kho\u00e1n kh\u00e1c nhau. Tuy nhi\u00ean, m\u1ed7i nh\u00e0 \u0111\u1ea7u t\u01b0 ch\u1ec9 \u0111\u01b0\u1ee3c ph\u00e9p m\u1edf m\u1ed9t t\u00e0i kho\u1ea3n duy nh\u1ea5t t\u1ea1i m\u1ed7i c\u00f4ng ty, tr\u1eeb m\u1ed9t s\u1ed1 tr\u01b0\u1eddng h\u1ee3p \u0111\u1eb7c bi\u1ec7t \u0111\u01b0\u1ee3c quy \u0111\u1ecbnh t\u1ea1i c\u00e1c kho\u1ea3n 4, 5, 6, 7, 8 \u0110i\u1ec1u 6, \u0110i\u1ec1u 9, \u0110i\u1ec1u 0 v\u00e0 \u0110i\u1ec1u 11 Th\u00f4ng t\u01b0 120\/2020\/TT-BTC. Vi\u1ec7c n\u00e0y gi\u00fap \u0111\u1ea3m b\u1ea3o t\u00ednh minh b\u1ea1ch v\u00e0 qu\u1ea3n l\u00fd r\u1ee7i ro trong ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n.<\/p>\n
T\u1ea1i Sao N\u00ean \u0110\u1ea7u T\u01b0 C\u1ed5 Phi\u1ebfu?<\/em><\/center><\/center><\/figcaption><\/figure>\nHi\u1ec7n nay, ph\u1ea7n l\u1edbn c\u00e1c c\u00f4ng ty ch\u1ee9ng kho\u00e1n \u0111\u1ec1u cung c\u1ea5p d\u1ecbch v\u1ee5 m\u1edf t\u00e0i kho\u1ea3n mi\u1ec5n ph\u00ed, kh\u00f4ng y\u00eau c\u1ea7u s\u1ed1 d\u01b0 t\u1ed1i thi\u1ec3u ban \u0111\u1ea7u. \u0110i\u1ec1u n\u00e0y t\u1ea1o \u0111i\u1ec1u ki\u1ec7n thu\u1eadn l\u1ee3i cho c\u00e1c nh\u00e0 \u0111\u1ea7u t\u01b0 m\u1edbi b\u1eaft \u0111\u1ea7u tham gia th\u1ecb tr\u01b0\u1eddng. Tuy nhi\u00ean, \u0111\u1ec3 \u0111\u1ea3m b\u1ea3o tu\u00e2n th\u1ee7 quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt, ng\u01b0\u1eddi m\u1edf t\u00e0i kho\u1ea3n c\u1ea7n \u0111\u1ee7 18 tu\u1ed5i tr\u1edf l\u00ean v\u00e0 c\u00f3 \u0111\u1ea7y \u0111\u1ee7 n\u0103ng l\u1ef1c h\u00e0nh vi d\u00e2n s\u1ef1.<\/p>\n
Sau khi ho\u00e0n t\u1ea5t vi\u1ec7c m\u1edf t\u00e0i kho\u1ea3n, nh\u00e0 \u0111\u1ea7u t\u01b0 c\u00f3 th\u1ec3 b\u1eaft \u0111\u1ea7u giao d\u1ecbch mua b\u00e1n c\u1ed5 phi\u1ebfu \u0111\u00e3 ni\u00eam y\u1ebft tr\u00ean s\u00e0n ch\u1ee9ng kho\u00e1n. C\u00e1c c\u00f4ng ty ch\u1ee9ng kho\u00e1n th\u01b0\u1eddng cung c\u1ea5p c\u00e1c n\u1ec1n t\u1ea3ng giao d\u1ecbch tr\u1ef1c tuy\u1ebfn, k\u00e8m theo h\u01b0\u1edbng d\u1eabn chi ti\u1ebft v\u1ec1 c\u00e1ch th\u1ee9c \u0111\u1eb7t l\u1ec7nh v\u00e0 theo d\u00f5i th\u1ecb tr\u01b0\u1eddng. \u0110i\u1ec1u n\u00e0y gi\u00fap nh\u00e0 \u0111\u1ea7u t\u01b0 d\u1ec5 d\u00e0ng th\u1ef1c hi\u1ec7n c\u00e1c giao d\u1ecbch m\u1ed9t c\u00e1ch nhanh ch\u00f3ng v\u00e0 thu\u1eadn ti\u1ec7n, \u0111\u1ed3ng th\u1eddi c\u00f3 th\u1ec3 ti\u1ebfp c\u1eadn th\u00f4ng tin th\u1ecb tr\u01b0\u1eddng th\u1ef1c \u0111\u1ec3 \u0111\u01b0a ra quy\u1ebft \u0111\u1ecbnh \u0111\u1ea7u t\u01b0 k\u1ecbp th\u1eddi.<\/p>\n
5.3. Thu\u1ebf, Ph\u00ed Ph\u1ea3i \u0110\u00f3ng Khi Mua B\u00e1n C\u1ed5 Phi\u1ebfu<\/strong><\/span><\/h3>\nKhi tham gia th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n, nh\u00e0 \u0111\u1ea7u t\u01b0 c\u1ea7n l\u01b0u \u00fd v\u1ec1 c\u00e1c ngh\u0129a v\u1ee5 t\u00e0i ch\u00ednh li\u00ean quan \u0111\u1ebfn ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch. T\u01b0\u01a1ng t\u1ef1 nh\u01b0 c\u00e1c giao d\u1ecbch h\u00e0ng h\u00f3a kh\u00e1c, vi\u1ec7c mua b\u00e1n ch\u1ee9ng kho\u00e1n c\u00f3 th\u1ec3 ph\u00e1t sinh thu nh\u1eadp v\u00e0 do \u0111\u00f3, ph\u1ea3i ch\u1ecbu c\u00e1c kho\u1ea3n thu\u1ebf v\u00e0 ph\u00ed theo quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt.<\/p>\n
\n- Thu\u1ebf su\u1ea5t \u0111\u1ed1i v\u1edbi thu nh\u1eadp t\u1eeb chuy\u1ec3n nh\u01b0\u1ee3ng ch\u1ee9ng kho\u00e1n l\u00e0 0,1% tr\u00ean gi\u00e1 b\u00e1n ch\u1ee9ng kho\u00e1n t\u1eebng l\u1ea7n (theo kho\u1ea3n 10 \u0110i\u1ec1u 1 Ngh\u1ecb \u0111\u1ecbnh 12\/205\/N\u0110-CP). C\u00f4ng ty ch\u1ee9ng kho\u00e1n, ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i n\u01a1i c\u00e1 nh\u00e2n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n, c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9 c\u00f3 tr\u00e1ch nhi\u1ec7m kh\u1ea5u tr\u1eeb thu\u1ebf \u0111\u1ed1i v\u1edbi chuy\u1ec3n nh\u01b0\u1ee3ng ch\u1ee9ng kho\u00e1n theo m\u1ee9c 0,1% tr\u00ean gi\u00e1 b\u00e1n ch\u1ee9ng kho\u00e1n t\u1eebng l\u1ea7n.<\/li>\n
- Ph\u00ed giao d\u1ecbch ch\u1ee9ng kho\u00e1n: Theo Ph\u1ee5 l\u1ee5c t\u1ea1i Th\u00f4ng t\u01b0 102\/2021\/TT-BTC c\u0169ng quy \u0111\u1ecbnh, m\u1ee9c gi\u00e1 d\u1ecbch v\u1ee5 m\u00f4i gi\u1edbi mua, b\u00e1n c\u1ed5 phi\u1ebfu t\u1ed1i \u0111a kh\u00f4ng qu\u00e1 0,45% gi\u00e1 tr\u1ecb c\u1ee7a m\u1ed9t l\u1ea7n giao d\u1ecbch. C\u1ee5 th\u1ec3, ph\u00ed giao d\u1ecbch n\u00e0y s\u1ebd \u0111\u01b0\u1ee3c s\u00e0n giao d\u1ecbch ch\u1ee9ng kho\u00e1n quy \u0111\u1ecbnh.<\/li>\n<\/ul>\n
5.4. N\u00ean Mua B\u00e1n C\u1ed5 Phi\u1ebfu Hay Tr\u00e1i Phi\u1ebfu?<\/strong><\/span><\/h3>\nC\u1ed5 phi\u1ebfu v\u00e0 tr\u00e1i phi\u1ebfu \u0111\u1ec1u \u0111\u01b0\u1ee3c mua b\u00e1n tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n hi\u1ec7n nay. M\u1ed7i lo\u1ea1i c\u00f3 \u0111\u1eb7c \u0111i\u1ec3m v\u00e0 m\u1ee9c \u0111\u1ed9 r\u1ee7i ro ri\u00eang. C\u1ea3 hai \u0111\u1ec1u ch\u1ecbu \u1ea3nh h\u01b0\u1edfng c\u1ee7a quy lu\u1eadt cung c\u1ea7u, d\u1eabn \u0111\u1ebfn bi\u1ebfn \u0111\u1ed9ng gi\u00e1 tr\u00ean th\u1ecb tr\u01b0\u1eddng.<\/p>\n
Tuy nhi\u00ean, c\u1ed5 phi\u1ebfu th\u01b0\u1eddng \u0111\u01b0\u1ee3c xem l\u00e0 ph\u01b0\u01a1ng ti\u1ec7n \u0111\u1ea7u t\u01b0 ng\u1eafn h\u1ea1n v\u1edbi ti\u1ec1m n\u0103ng l\u1ee3i nhu\u1eadn cao h\u01a1n, nh\u01b0ng c\u0169ng k\u00e8m theo r\u1ee7i ro l\u1edbn h\u01a1n. Ng\u01b0\u1ee3c l\u1ea1i, tr\u00e1i phi\u1ebfu th\u01b0\u1eddng \u0111\u01b0\u1ee3c \u01b0a chu\u1ed9ng cho c\u00e1c chi\u1ebfn l\u01b0\u1ee3c \u0111\u1ea7u t\u01b0 d\u00e0i h\u1ea1n, v\u1edbi m\u1ee9c l\u00e3i su\u1ea5t c\u1ed1 \u0111\u1ecbnh v\u00e0 \u0111\u1ed9 an to\u00e0n cao h\u01a1n, m\u1eb7c d\u00f9 l\u1ee3i nhu\u1eadn c\u00f3 th\u1ec3 khi\u00eam t\u1ed1n h\u01a1n so v\u1edbi c\u1ed5 phi\u1ebfu.<\/p>\n
Quy\u1ebft \u0111\u1ecbnh l\u1ef1a ch\u1ecdn gi\u1eefa c\u1ed5 phi\u1ebfu v\u00e0 tr\u00e1i phi\u1ebfu ph\u1ee5 thu\u1ed9c v\u00e0o nhi\u1ec1u y\u1ebfu t\u1ed1 c\u00e1 nh\u00e2n c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0. \u0110i\u1ec1u quan tr\u1ecdng l\u00e0 c\u00e2n nh\u1eafc kh\u1ea3 n\u0103ng t\u00e0i ch\u00ednh, m\u1ee5c ti\u00eau th\u1eddi gian \u0111\u1ea7u t\u01b0 v\u00e0 m\u1ee9c \u0111\u1ed9 ch\u1ea5p nh\u1eadn r\u1ee7i ro c\u1ee7a b\u1ea3n th\u00e2n.<\/p>\n
Nh\u00e0 \u0111\u1ea7u t\u01b0 c\u00f3 xu h\u01b0\u1edbng ch\u1ea5p nh\u1eadn r\u1ee7i ro cao v\u00e0 mong mu\u1ed1n l\u1ee3i nhu\u1eadn l\u1edbn trong th\u1eddi gian ng\u1eafn c\u00f3 th\u1ec3 nghi\u00eang v\u1ec1 c\u1ed5 phi\u1ebfu. Trong khi \u0111\u00f3, nh\u1eefng ng\u01b0\u1eddi \u01b0u ti\u00ean s\u1ef1 \u1ed5n \u0111\u1ecbnh v\u00e0 an to\u00e0n trong d\u00e0i h\u1ea1n c\u00f3 th\u1ec3 th\u1ea5y tr\u00e1i phi\u1ebfu ph\u00f9 h\u1ee3p h\u01a1n. Vi\u1ec7c k\u1ebft h\u1ee3p c\u1ea3 hai lo\u1ea1i trong danh m\u1ee5c \u0111\u1ea7u t\u01b0 c\u0169ng l\u00e0 m\u1ed9t chi\u1ebfn l\u01b0\u1ee3c ph\u1ed5 bi\u1ebfn \u0111\u1ec3 c\u00e2n b\u1eb1ng gi\u1eefa l\u1ee3i nhu\u1eadn v\u00e0 r\u1ee7i ro, t\u00f9y thu\u1ed9c v\u00e0o t\u00ecnh h\u00ecnh t\u00e0i ch\u00ednh v\u00e0 m\u1ee5c ti\u00eau \u0111\u1ea7u t\u01b0 c\u1ee5 th\u1ec3 c\u1ee7a m\u1ed7i c\u00e1 nh\u00e2n.<\/p>\n
5.5. Gian L\u1eadn Trong Ch\u1ee9ng Kho\u00e1n B\u1ecb Ph\u1ea1t Nh\u01b0 Th\u1ebf N\u00e0o?<\/strong><\/span><\/h3>\nTheo \u0110i\u1ec1u 12 Lu\u1eadt Ch\u1ee9ng kho\u00e1n 2019, m\u1ed9t s\u1ed1 h\u00e0nh vi b\u1ecb nghi\u00eam c\u1ea5m trong mua b\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n nh\u01b0:<\/p>\n
\n\n\n1. Tr\u1ef1c ti\u1ebfp ho\u1eb7c gi\u00e1n ti\u1ebfp th\u1ef1c hi\u1ec7n h\u00e0nh vi gian l\u1eadn, l\u1eeba \u0111\u1ea3o, l\u00e0m gi\u1ea3 t\u00e0i li\u1ec7u, t\u1ea1o d\u1ef1ng th\u00f4ng tin sai s\u1ef1 th\u1eadt ho\u1eb7c c\u00f4ng b\u1ed1 th\u00f4ng tin sai l\u1ec7ch ho\u1eb7c che gi\u1ea5u th\u00f4ng tin ho\u1eb7c b\u1ecf s\u00f3t 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 ch\u00e0o b\u00e1n, ni\u00eam y\u1ebft, giao d\u1ecbch, kinh doanh, \u0111\u1ea7u t\u01b0 ch\u1ee9ng kho\u00e1n, cung c\u1ea5p d\u1ecbch v\u1ee5 v\u1ec1 ch\u1ee9ng kho\u00e1n.<\/p>\n 2. S\u1eed d\u1ee5ng th\u00f4ng tin n\u1ed9i b\u1ed9 \u0111\u1ec3 mua, b\u00e1n ch\u1ee9ng kho\u00e1n cho ch\u00ednh m\u00ecnh ho\u1eb7c cho ng\u01b0\u1eddi kh\u00e1c; ti\u1ebft l\u1ed9, cung c\u1ea5p th\u00f4ng tin n\u1ed9i b\u1ed9 ho\u1eb7c t\u01b0 v\u1ea5n cho ng\u01b0\u1eddi kh\u00e1c mua, b\u00e1n ch\u1ee9ng kho\u00e1n tr\u00ean c\u01a1 s\u1edf th\u00f4ng tin n\u1ed9i b\u1ed9.<\/p>\n 3. S\u1eed d\u1ee5ng m\u1ed9t ho\u1eb7c nhi\u1ec1u t\u00e0i kho\u1ea3n giao d\u1ecbch c\u1ee7a m\u00ecnh ho\u1eb7c c\u1ee7a ng\u01b0\u1eddi kh\u00e1c ho\u1eb7c th\u00f4ng \u0111\u1ed3ng \u0111\u1ec3 th\u1ef1c hi\u1ec7n vi\u1ec7c mua, b\u00e1n ch\u1ee9ng kho\u00e1n nh\u1eb1m t\u1ea1o ra cung, c\u1ea7u gi\u1ea3 t\u1ea1o; 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 mua, b\u00e1n \u0111\u1ec3 thao t\u00fang gi\u00e1 ch\u1ee9ng kho\u00e1n; k\u1ebft h\u1ee3p ho\u1eb7c s\u1eed d\u1ee5ng c\u00e1c ph\u01b0\u01a1ng ph\u00e1p giao d\u1ecbch kh\u00e1c ho\u1eb7c k\u1ebft h\u1ee3p tung tin \u0111\u1ed3n sai s\u1ef1 th\u1eadt, cung c\u1ea5p th\u00f4ng tin sai l\u1ec7ch ra c\u00f4ng ch\u00fang \u0111\u1ec3 thao t\u00fang gi\u00e1 ch\u1ee9ng kho\u00e1n.<\/p>\n 4. Th\u1ef1c hi\u1ec7n ho\u1ea1t \u0111\u1ed9ng kinh doanh ch\u1ee9ng kho\u00e1n, cung c\u1ea5p d\u1ecbch v\u1ee5 v\u1ec1 ch\u1ee9ng kho\u00e1n khi ch\u01b0a \u0111\u01b0\u1ee3c \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc c\u1ea5p gi\u1ea5y ph\u00e9p, c\u1ea5p gi\u1ea5y ch\u1ee9ng nh\u1eadn ho\u1eb7c ch\u1ea5p thu\u1eadn.<\/p>\n 5. S\u1eed d\u1ee5ng t\u00e0i kho\u1ea3n, t\u00e0i s\u1ea3n c\u1ee7a kh\u00e1ch h\u00e0ng khi kh\u00f4ng \u0111\u01b0\u1ee3c kh\u00e1ch h\u00e0ng \u1ee7y th\u00e1c ho\u1eb7c tr\u00e1i quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt ho\u1eb7c l\u1ea1m d\u1ee5ng t\u00edn nhi\u1ec7m \u0111\u1ec3 chi\u1ebfm \u0111o\u1ea1t t\u00e0i s\u1ea3n c\u1ee7a kh\u00e1ch h\u00e0ng.<\/p>\n 6. Cho ng\u01b0\u1eddi kh\u00e1c m\u01b0\u1ee3n t\u00e0i kho\u1ea3n \u0111\u1ec3 giao d\u1ecbch ch\u1ee9ng kho\u00e1n, \u0111\u1ee9ng t\u00ean s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n h\u1ed9 ng\u01b0\u1eddi kh\u00e1c d\u1eabn \u0111\u1ebfn h\u00e0nh vi thao t\u00fang gi\u00e1 ch\u1ee9ng kho\u00e1n.<\/p>\n 7. T\u1ed5 ch\u1ee9c th\u1ecb tr\u01b0\u1eddng giao d\u1ecbch ch\u1ee9ng kho\u00e1n tr\u00e1i quy \u0111\u1ecbnh c\u1ee7a Lu\u1eadt n\u00e0y.<\/p>\n Theo kho\u1ea3n 3 \u0110i\u1ec1u 132 Lu\u1eadt Ch\u1ee9ng kho\u00e1n 2019, m\u1ee9c ph\u1ea1t ti\u1ec1n t\u1ed1i \u0111a trong x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh \u0111\u1ed1i v\u1edbi h\u00e0nh vi vi ph\u1ea1m \u0111\u1ed1i v\u1edbi c\u00e1c h\u00e0nh vi nh\u01b0 tr\u00ean l\u00e0 10 l\u1ea7n kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt c\u00f3 \u0111\u01b0\u1ee3c t\u1eeb h\u00e0nh vi vi ph\u1ea1m.<\/p>\n Tr\u01b0\u1eddng h\u1ee3p kh\u00f4ng c\u00f3 kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt ho\u1eb7c m\u1ee9c ph\u1ea1t t\u00ednh theo kho\u1ea3n thu tr\u00e1i ph\u00e1p lu\u1eadt th\u1ea5p h\u01a1n m\u1ee9c ph\u1ea1t ti\u1ec1n t\u1ed1i \u0111a quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 4 \u0110i\u1ec1u n\u00e0y th\u00ec \u00e1p d\u1ee5ng m\u1ee9c ph\u1ea1t ti\u1ec1n t\u1ed1i \u0111a quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 4 \u0110i\u1ec1u n\u00e0y (03 t\u1ef7 \u0111\u1ed3ng).<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n |