{"id":11871,"date":"2026-02-05T16:09:12","date_gmt":"2026-02-05T09:09:12","guid":{"rendered":"https:\/\/atslegal.vn\/vn\/?p=11871"},"modified":"2026-02-05T16:09:12","modified_gmt":"2026-02-05T09:09:12","slug":"bo-sung-nguyen-tac-to-chuc-cong-tac-giam-sat-giao-dich-chung-khoan","status":"publish","type":"post","link":"https:\/\/atslegal.vn\/vn\/bo-sung-nguyen-tac-to-chuc-cong-tac-giam-sat-giao-dich-chung-khoan\/","title":{"rendered":"B\u1ed4 SUNG NGUY\u00caN T\u1eaeC T\u1ed4 CH\u1ee8C C\u00d4NG T\u00c1C GI\u00c1M S\u00c1T GIAO D\u1ecaCH CH\u1ee8NG KHO\u00c1N"},"content":{"rendered":"\n<figure class=\"wp-block-image size-full\"><img loading=\"lazy\" decoding=\"async\" width=\"975\" height=\"650\" src=\"https:\/\/atslegal.vn\/vn\/wp-content\/uploads\/sites\/5\/2026\/02\/image-1.png\" alt=\"\" class=\"wp-image-11872\" srcset=\"https:\/\/atslegal.vn\/vn\/wp-content\/uploads\/sites\/5\/2026\/02\/image-1.png 975w, https:\/\/atslegal.vn\/vn\/wp-content\/uploads\/sites\/5\/2026\/02\/image-1-300x200.png 300w, https:\/\/atslegal.vn\/vn\/wp-content\/uploads\/sites\/5\/2026\/02\/image-1-768x512.png 768w\" sizes=\"(max-width: 975px) 100vw, 975px\" \/><\/figure>\n\n\n\n<p><\/p>\n\n\n\n<p>Ng\u00e0y 30\/12\/2025, B\u1ed9 tr\u01b0\u1edfng B\u1ed9 T\u00e0i ch\u00ednh ban h\u00e0nh <a href=\"https:\/\/elink.thuvienphapluat.vn\/Redirect.aspx?us=1765348&amp;tl=14688&amp;re=c9hSMGNITTZMeTkwYUhWMmFXVnVjR2hoY0d4MVlYUXVkbTR2ZG1GdUxXSmhiaTlEYUhWdVp5MXJhRzloYmk5VWFHOXVaeTEwZFMweE16Z3RNakF5TlMxVVZDMUNWRU10YzNWaExXUnZhUzFVYUc5dVp5MTBkUzA1TlMweU1ESXdMVlJVTFVKVVF5MTJZUzFVYUc5dVp5MTBkUzB3TmkweU1ESXlMVlJVTFVJbFJEQWxRVElsUkRBbFFURXROamc0TVRZM0xtRnpjSGYU\" target=\"_blank\" rel=\"noreferrer noopener\">Th\u00f4ng t\u01b0 138\/2025\/TT-BTC<\/a> s\u1eeda \u0111\u1ed5i <a href=\"https:\/\/elink.thuvienphapluat.vn\/Redirect.aspx?us=1765348&amp;tl=14688&amp;re=09hSMGNITTZMeTkwYUhWMmFXVnVjR2hoY0d4MVlYUXVkbTR2ZG1GdUxXSmhiaTlEYUhWdVp5MXJhRzloYmk5VWFHOXVaeTEwZFMwNU5TMHlNREl3TFZSVUxVSlVReTFvZFc5dVp5MWtZVzR0WjJsaGJTMXpZWFF0WjJsaGJ5MWthV05vTFdOb2RXNW5MV3RvYjJGdUxYUnlaVzR0ZEdocExYUnlkVzl1WnkxamFIVnVaeTFyYUc5aGJpMDBOVGcyTmpJdVlYTndlQTYU\" target=\"_blank\" rel=\"noreferrer noopener\">Th\u00f4ng t\u01b0 95\/2020\/TT-BTC<\/a> h\u01b0\u1edbng d\u1eabn gi\u00e1m s\u00e1t giao d\u1ecbch ch\u1ee9ng kho\u00e1n tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n v\u00e0 <a href=\"https:\/\/elink.thuvienphapluat.vn\/Redirect.aspx?us=1765348&amp;tl=14688&amp;re=0=hSMGNITTZMeTkwYUhWMmFXVnVjR2hoY0d4MVlYUXVkbTR2ZG1GdUxXSmhiaTlEYUhWdVp5MXJhRzloYmk5VWFHOXVaeTEwZFMwMkxUSXdNakl0VkZRdFFsUkRMV052Ym1jdGRHRmpMV2RwWVcwdGMyRjBMWFIxWVc0dGRHaDFMV04xWVMxVmVTMWlZVzR0UTJoMWJtY3RhMmh2WVc0dFRtaGhMVzUxYjJNdE5UQXlPVGcxTG1GemNIZzYU\" target=\"_blank\" rel=\"noreferrer noopener\">Th\u00f4ng t\u01b0 06\/2022\/TT-BTC<\/a> h\u01b0\u1edbng d\u1eabn c\u00f4ng t\u00e1c gi\u00e1m s\u00e1t tu\u00e2n th\u1ee7 c\u1ee7a \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc \u0111\u1ed1i v\u1edbi ho\u1ea1t \u0111\u1ed9ng trong l\u0129nh v\u1ef1c ch\u1ee9ng kho\u00e1n c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam v\u00e0 c\u00f4ng ty con, T\u1ed5ng c\u00f4ng ty l\u01b0u k\u00fd v\u00e0 b\u00f9 tr\u1eeb ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam v\u00e0 c\u00f4ng ty con.<\/p>\n\n\n\n<p>Theo \u0111\u00f3, <a href=\"https:\/\/elink.thuvienphapluat.vn\/Redirect.aspx?us=1765348&amp;tl=14688&amp;re=c9hSMGNITTZMeTkwYUhWMmFXVnVjR2hoY0d4MVlYUXVkbTR2ZG1GdUxXSmhiaTlEYUhWdVp5MXJhRzloYmk5VWFHOXVaeTEwZFMweE16Z3RNakF5TlMxVVZDMUNWRU10YzNWaExXUnZhUzFVYUc5dVp5MTBkUzA1TlMweU1ESXdMVlJVTFVKVVF5MTJZUzFVYUc5dVp5MTBkUzB3TmkweU1ESXlMVlJVTFVJbFJEQWxRVElsUkRBbFFURXROamc0TVRZM0xtRnpjSGYU\" target=\"_blank\" rel=\"noreferrer noopener\">Th\u00f4ng t\u01b0 138\/2025\/TT-BTC<\/a> \u0111\u00e3 b\u1ed5 sung \u0110i\u1ec1u 3a v\u00e0o sau \u0110i\u1ec1u 3 <a href=\"https:\/\/elink.thuvienphapluat.vn\/Redirect.aspx?us=1765348&amp;tl=14688&amp;re=09hSMGNITTZMeTkwYUhWMmFXVnVjR2hoY0d4MVlYUXVkbTR2ZG1GdUxXSmhiaTlEYUhWdVp5MXJhRzloYmk5VWFHOXVaeTEwZFMwNU5TMHlNREl3TFZSVUxVSlVReTFvZFc5dVp5MWtZVzR0WjJsaGJTMXpZWFF0WjJsaGJ5MWthV05vTFdOb2RXNW5MV3RvYjJGdUxYUnlaVzR0ZEdocExYUnlkVzl1WnkxamFIVnVaeTFyYUc5aGJpMDBOVGcyTmpJdVlYTndlQTYU\" target=\"_blank\" rel=\"noreferrer noopener\">Th\u00f4ng t\u01b0 95\/2020\/TT-BTC<\/a> v\u1ec1 nguy\u00ean t\u1eafc t\u1ed5 ch\u1ee9c c\u00f4ng t\u00e1c gi\u00e1m s\u00e1t giao d\u1ecbch ch\u1ee9ng kho\u00e1n nh\u01b0 sau:<\/p>\n\n\n\n<ul>\n<li>Vi\u1ec7c gi\u00e1m s\u00e1t giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n th\u1ed1ng nh\u1ea5t, th\u01b0\u1eddng xuy\u00ean, li\u00ean t\u1ee5c, k\u1ecbp th\u1eddi v\u00e0 ph\u1ed1i h\u1ee3p ch\u1eb7t ch\u1ebd gi\u1eefa \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc, S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam v\u00e0 c\u00f4ng ty con, T\u1ed5ng c\u00f4ng ty l\u01b0u k\u00fd v\u00e0 b\u00f9 tr\u1eeb ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam v\u00e0 c\u00f4ng ty con, th\u00e0nh vi\u00ean giao d\u1ecbch nh\u1eb1m b\u1ea3o \u0111\u1ea3m th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n ho\u1ea1t \u0111\u1ed9ng c\u00f4ng khai, minh b\u1ea1ch, c\u00f4ng b\u1eb1ng v\u00e0 hi\u1ec7u qu\u1ea3;<\/li>\n\n\n\n<li>\u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc th\u1ef1c hi\u1ec7n v\u00e0 t\u1ed5 ch\u1ee9c vi\u1ec7c th\u1ef1c hi\u1ec7n gi\u00e1m s\u00e1t giao d\u1ecbch ch\u1ee9ng kho\u00e1n tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n; l\u00e0m r\u00f5 d\u1ea5u hi\u1ec7u vi ph\u1ea1m quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1ec1 ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n; x\u1eed l\u00fd c\u00e1c h\u00e0nh vi vi ph\u1ea1m v\u1ec1 giao d\u1ecbch theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1ec1 ch\u1ee9ng kho\u00e1n v\u00e0 th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n;<\/li>\n\n\n\n<li>S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam th\u1ef1c hi\u1ec7n gi\u00e1m s\u00e1t ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n, gi\u00e1m s\u00e1t giao d\u1ecbch li\u00ean th\u1ecb tr\u01b0\u1eddng tr\u00ean c\u01a1 s\u1edf b\u00e1o c\u00e1o c\u1ee7a S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u1ec3 k\u1ecbp th\u1eddi ph\u00e1t hi\u1ec7n, b\u00e1o c\u00e1o \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc c\u00e1c giao d\u1ecbch nghi v\u1ea5n;<\/li>\n\n\n\n<li>S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n th\u1ef1c hi\u1ec7n gi\u00e1m s\u00e1t ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch tr\u00ean c\u01a1 s\u1edf d\u1eef li\u1ec7u t\u1eeb h\u1ec7 th\u1ed1ng giao d\u1ecbch ch\u1ee9ng kho\u00e1n do S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n t\u1ed5 ch\u1ee9c, v\u1eadn h\u00e0nh v\u00e0 th\u00f4ng tin, t\u00e0i li\u1ec7u c\u1ee7a th\u00e0nh vi\u00ean giao d\u1ecbch, t\u1ed5 ch\u1ee9c, c\u00e1 nh\u00e2n kh\u00e1c \u0111\u1ec3 k\u1ecbp th\u1eddi ph\u00e1t hi\u1ec7n, b\u00e1o c\u00e1o \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc c\u00e1c giao d\u1ecbch nghi v\u1ea5n, \u0111\u1ed3ng th\u1eddi b\u00e1o c\u00e1o S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam;<\/li>\n\n\n\n<li>T\u1ed5ng c\u00f4ng ty l\u01b0u k\u00fd v\u00e0 b\u00f9 tr\u1eeb ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam v\u00e0 c\u00f4ng ty con th\u1ef1c hi\u1ec7n gi\u00e1m s\u00e1t, l\u00e0m r\u00f5 c\u00e1c d\u1ea5u hi\u1ec7u vi ph\u1ea1m ph\u00e1p lu\u1eadt \u0111\u1ed1i v\u1edbi c\u00e1c n\u1ed9i dung v\u1ec1 b\u00f9 tr\u1eeb, thanh to\u00e1n; gi\u1edbi h\u1ea1n v\u1ecb th\u1ebf, k\u00fd qu\u1ef9 trong giao d\u1ecbch ch\u1ee9ng kho\u00e1n \u0111\u1ec3 k\u1ecbp th\u1eddi ph\u00e1t hi\u1ec7n, b\u00e1o c\u00e1o \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc theo quy \u0111\u1ecbnh;<\/li>\n\n\n\n<li>Th\u00e0nh vi\u00ean giao d\u1ecbch c\u00f3 tr\u00e1ch nhi\u1ec7m gi\u00e1m s\u00e1t ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0; k\u1ecbp th\u1eddi ph\u00e1t hi\u1ec7n, c\u1ea3nh b\u00e1o nh\u00e0 \u0111\u1ea7u t\u01b0 v\u00e0 b\u00e1o c\u00e1o S\u1edf giao d\u1ecbch ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam v\u00e0 c\u00f4ng ty con theo quy \u0111\u1ecbnh.<\/li>\n<\/ul>\n\n\n\n<p class=\"has-text-align-right\"><a href=\"https:\/\/drive.google.com\/file\/d\/1QU4ktRpaaFN1F16rjsxc-YyjoJZ_NADC\/view?usp=drive_link\" target=\"_blank\" rel=\"noopener\"><strong><em>Th\u00f4ng t\u01b0 138\/2025\/TT-BTC<\/em><\/strong><\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Ng\u00e0y 30\/12\/2025, B\u1ed9 tr\u01b0\u1edfng B\u1ed9 T\u00e0i ch\u00ednh ban h\u00e0nh Th\u00f4ng t\u01b0 138\/2025\/TT-BTC s\u1eeda \u0111\u1ed5i Th\u00f4ng t\u01b0 95\/2020\/TT-BTC h\u01b0\u1edbng d\u1eabn gi\u00e1m s\u00e1t giao d\u1ecbch ch\u1ee9ng kho\u00e1n tr\u00ean th\u1ecb tr\u01b0\u1eddng ch\u1ee9ng kho\u00e1n v\u00e0 Th\u00f4ng t\u01b0 06\/2022\/TT-BTC h\u01b0\u1edbng d\u1eabn c\u00f4ng t\u00e1c gi\u00e1m s\u00e1t tu\u00e2n th\u1ee7 c\u1ee7a \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc \u0111\u1ed1i v\u1edbi ho\u1ea1t \u0111\u1ed9ng trong l\u0129nh [&hellip;]<\/p>\n","protected":false},"author":5,"featured_media":11872,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[6],"tags":[],"_links":{"self":[{"href":"https:\/\/atslegal.vn\/vn\/wp-json\/wp\/v2\/posts\/11871"}],"collection":[{"href":"https:\/\/atslegal.vn\/vn\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/atslegal.vn\/vn\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/atslegal.vn\/vn\/wp-json\/wp\/v2\/users\/5"}],"replies":[{"embeddable":true,"href":"https:\/\/atslegal.vn\/vn\/wp-json\/wp\/v2\/comments?post=11871"}],"version-history":[{"count":1,"href":"https:\/\/atslegal.vn\/vn\/wp-json\/wp\/v2\/posts\/11871\/revisions"}],"predecessor-version":[{"id":11873,"href":"https:\/\/atslegal.vn\/vn\/wp-json\/wp\/v2\/posts\/11871\/revisions\/11873"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/atslegal.vn\/vn\/wp-json\/wp\/v2\/media\/11872"}],"wp:attachment":[{"href":"https:\/\/atslegal.vn\/vn\/wp-json\/wp\/v2\/media?parent=11871"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/atslegal.vn\/vn\/wp-json\/wp\/v2\/categories?post=11871"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/atslegal.vn\/vn\/wp-json\/wp\/v2\/tags?post=11871"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}