{"id":12141,"date":"2026-10-29T14:38:08","date_gmt":"2026-10-29T07:38:08","guid":{"rendered":"https:\/\/atslegal.vn\/vn\/?p=12141"},"modified":"2026-10-29T14:38:09","modified_gmt":"2026-10-29T07:38:09","slug":"quy-dinh-ve-ky-gui-chung-khoan-tu-ngay-16-11-2026","status":"publish","type":"post","link":"https:\/\/atslegal.vn\/vn\/quy-dinh-ve-ky-gui-chung-khoan-tu-ngay-16-11-2026\/","title":{"rendered":"QUY \u0110\u1ecaNH V\u1ec0 K\u00dd G\u1eecI CH\u1ee8NG KHO\u00c1N T\u1eea NG\u00c0Y 16\/11\/2026"},"content":{"rendered":"\n<figure class=\"wp-block-image size-full\"><img loading=\"lazy\" decoding=\"async\" width=\"945\" height=\"630\" src=\"https:\/\/atslegal.vn\/vn\/wp-content\/uploads\/sites\/5\/2026\/10\/image-11.png\" alt=\"\" class=\"wp-image-12142\" srcset=\"https:\/\/atslegal.vn\/vn\/wp-content\/uploads\/sites\/5\/2026\/10\/image-11.png 945w, https:\/\/atslegal.vn\/vn\/wp-content\/uploads\/sites\/5\/2026\/10\/image-11-300x200.png 300w, https:\/\/atslegal.vn\/vn\/wp-content\/uploads\/sites\/5\/2026\/10\/image-11-768x512.png 768w\" sizes=\"(max-width: 945px) 100vw, 945px\" \/><\/figure>\n\n\n\n<p><\/p>\n\n\n\n<p>Ng\u00e0y 30\/09\/2026, B\u1ed9 tr\u01b0\u1edfng B\u1ed9 T\u00e0i ch\u00ednh ban h\u00e0nh\u00a0Th\u00f4ng t\u01b0 145\/2026\/TT-BTC\u00a0quy \u0111\u1ecbnh ho\u1ea1t \u0111\u1ed9ng \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n.\u00a0\u00a0 <\/p>\n\n\n\n<p>Theo \u0111\u00f3, vi\u1ec7c k\u00fd g\u1eedi ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c quy \u0111\u1ecbnh c\u1ee5 th\u1ec3 nh\u01b0 sau:\u00a0<\/p>\n\n\n\n<p>1. Vi\u1ec7c k\u00fd g\u1eedi ch\u1ee9ng kho\u00e1n (ngo\u1ea1i tr\u1eeb c\u00f4ng c\u1ee5 n\u1ee3 c\u1ee7a Ch\u00ednh ph\u1ee7, tr\u00e1i phi\u1ebfu \u0111\u01b0\u1ee3c Ch\u00ednh ph\u1ee7 b\u1ea3o l\u00e3nh, tr\u00e1i phi\u1ebfu ch\u00ednh quy\u1ec1n \u0111\u1ecba ph\u01b0\u01a1ng) t\u1ea1i T\u1ed5ng c\u00f4ng ty l\u01b0u k\u00fd v\u00e0 b\u00f9 tr\u1eeb ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n theo nguy\u00ean t\u1eafc sau:<\/p>\n\n\n\n<ul>\n<li>Kh\u00e1ch h\u00e0ng k\u00fd g\u1eedi ch\u1ee9ng kho\u00e1n v\u00e0o T\u1ed5ng c\u00f4ng ty l\u01b0u k\u00fd v\u00e0 b\u00f9 tr\u1eeb ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam th\u00f4ng qua th\u00e0nh vi\u00ean l\u01b0u k\u00fd n\u01a1i kh\u00e1ch h\u00e0ng \u0111\u00f3 m\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n;&nbsp;<\/li>\n\n\n\n<li>Th\u00e0nh vi\u00ean l\u01b0u k\u00fd c\u00f3 tr\u00e1ch nhi\u1ec7m l\u00e0m th\u1ee7 t\u1ee5c nh\u1eadn ch\u1ee9ng kho\u00e1n k\u00fd g\u1eedi c\u1ee7a kh\u00e1ch h\u00e0ng v\u00e0 t\u00e1i k\u00fd g\u1eedi v\u00e0o T\u1ed5ng c\u00f4ng ty l\u01b0u k\u00fd v\u00e0 b\u00f9 tr\u1eeb ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam trong th\u1eddi h\u1ea1n 01 ng\u00e0y l\u00e0m vi\u1ec7c k\u1ec3 t\u1eeb ng\u00e0y nh\u1eadn \u0111\u01b0\u1ee3c h\u1ed3 s\u01a1 h\u1ee3p l\u1ec7 c\u1ee7a kh\u00e1ch h\u00e0ng;&nbsp;<\/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 c\u00f3 tr\u00e1ch nhi\u1ec7m x\u1eed l\u00fd h\u1ed3 s\u01a1 k\u00fd g\u1eedi ch\u1ee9ng kho\u00e1n sau khi nh\u1eadn \u0111\u01b0\u1ee3c h\u1ed3 s\u01a1 h\u1ee3p l\u1ec7 c\u1ee7a th\u00e0nh vi\u00ean l\u01b0u k\u00fd v\u00e0 th\u00f4ng tin nh\u1eadn di\u1ec7n ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 t\u1ea1i t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh, c\u00f4ng ty \u0111\u1ea1i ch\u00fang v\u00e0 th\u00e0nh vi\u00ean l\u01b0u k\u00fd tr\u00f9ng kh\u1edbp nhau.<\/li>\n<\/ul>\n\n\n\n<p>2. Th\u00e0nh vi\u00ean l\u01b0u k\u00fd, t\u1ed5 ch\u1ee9c m\u1edf t\u00e0i kho\u1ea3n tr\u1ef1c ti\u1ebfp, kh\u00e1ch h\u00e0ng k\u00fd g\u1eedi ch\u1ee9ng kho\u00e1n kh\u00f4ng h\u1ee3p l\u1ec7, ch\u1ee9ng kho\u00e1n gi\u1ea3 m\u1ea1o, b\u1ecb th\u00f4ng b\u00e1o m\u1ea5t c\u1eafp ho\u1eb7c kh\u00f4ng c\u00f3 \u0111\u1ee7 th\u00f4ng tin theo y\u00eau c\u1ea7u ph\u1ea3i ch\u1ecbu tr\u00e1ch nhi\u1ec7m v\u1ec1 vi\u1ec7c k\u00fd g\u1eedi s\u1ed1 ch\u1ee9ng kho\u00e1n n\u00e0y v\u00e0 ph\u1ea3i b\u1ed3i th\u01b0\u1eddng cho c\u00e1c b\u00ean li\u00ean quan thi\u1ec7t h\u1ea1i do vi\u1ec7c l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n \u0111\u00f3 g\u00e2y ra.<\/p>\n\n\n\n<p>3. T\u1ed5ng c\u00f4ng ty l\u01b0u k\u00fd v\u00e0 b\u00f9 tr\u1eeb ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam nh\u1eadn k\u00fd g\u1eedi ch\u1ee9ng kho\u00e1n cho ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n theo \u0111\u1ec1 ngh\u1ecb c\u1ee7a t\u1ed5 ch\u1ee9c ph\u00e1t h\u00e0nh, c\u00f4ng ty \u0111\u1ea1i ch\u00fang (\u0111\u1ea1i di\u1ec7n cho ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n) v\u00e0 th\u00e0nh vi\u00ean l\u01b0u k\u00fd n\u01a1i ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n m\u1edf t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n.<\/p>\n\n\n\n<p>4. T\u1ed5ng c\u00f4ng ty l\u01b0u k\u00fd v\u00e0 b\u00f9 tr\u1eeb ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam th\u1ef1c hi\u1ec7n h\u1ea1ch to\u00e1n ch\u1ee9ng kho\u00e1n v\u00e0o t\u00e0i kho\u1ea3n l\u01b0u k\u00fd ch\u1ee9ng kho\u00e1n c\u1ee7a th\u00e0nh vi\u00ean l\u01b0u k\u00fd, t\u1ed5 ch\u1ee9c m\u1edf t\u00e0i kho\u1ea3n tr\u1ef1c ti\u1ebfp ho\u1eb7c kh\u00e1ch h\u00e0ng c\u1ee7a th\u00e0nh vi\u00ean l\u01b0u k\u00fd c\u00f3 li\u00ean quan trong c\u00e1c tr\u01b0\u1eddng h\u1ee3p k\u00fd g\u1eedi c\u00f4ng c\u1ee5 n\u1ee3 c\u1ee7a Ch\u00ednh ph\u1ee7, tr\u00e1i phi\u1ebfu \u0111\u01b0\u1ee3c Ch\u00ednh ph\u1ee7 b\u1ea3o l\u00e3nh, tr\u00e1i phi\u1ebfu ch\u00ednh quy\u1ec1n \u0111\u1ecba ph\u01b0\u01a1ng v\u00e0 trong c\u00e1c tr\u01b0\u1eddng h\u1ee3p \u0111i\u1ec1u ch\u1ec9nh th\u00f4ng tin t\u0103ng s\u1ed1 l\u01b0\u1ee3ng ch\u1ee9ng kho\u00e1n \u0111\u0103ng k\u00fd ph\u00e1t sinh t\u1eeb th\u1ef1c hi\u1ec7n quy\u1ec1n cho ng\u01b0\u1eddi s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n \u0111\u00e3 l\u01b0u k\u00fd t\u1ea1i T\u1ed5ng c\u00f4ng ty l\u01b0u k\u00fd v\u00e0 b\u00f9 tr\u1eeb ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam.<\/p>\n\n\n\n<p>5. Nh\u00e0 \u0111\u1ea7u t\u01b0 ph\u1ea3i k\u00fd g\u1eedi to\u00e0n b\u1ed9 s\u1ed1 l\u01b0\u1ee3ng ch\u1ee9ng kho\u00e1n s\u1edf h\u1eefu ghi nh\u1eadn tr\u00ean 01 S\u1ed5 ho\u1eb7c Gi\u1ea5y ch\u1ee9ng nh\u1eadn s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n. K\u1ec3 t\u1eeb ng\u00e0y ch\u1ee9ng kho\u00e1n k\u00fd g\u1eedi c\u00f3 hi\u1ec7u l\u1ef1c l\u01b0u k\u00fd t\u1ea1i T\u1ed5ng c\u00f4ng ty l\u01b0u k\u00fd v\u00e0 b\u00f9 tr\u1eeb ch\u1ee9ng kho\u00e1n Vi\u1ec7t Nam, S\u1ed5 ho\u1eb7c Gi\u1ea5y ch\u1ee9ng nh\u1eadn s\u1edf h\u1eefu ch\u1ee9ng kho\u00e1n c\u1ee7a nh\u00e0 \u0111\u1ea7u t\u01b0 h\u1ebft hi\u1ec7u l\u1ef1c l\u01b0u h\u00e0nh.<\/p>\n\n\n\n<p class=\"has-text-align-right\"><a href=\"https:\/\/drive.google.com\/file\/d\/11HZf7vxO8FovC7NlwDLk2RfrZIk1BMAA\/view?usp=sharing\" target=\"_blank\" rel=\"noreferrer noopener\">Th\u00f4ng t\u01b0 145\/2026\/TT-BTC<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"<p>Ng\u00e0y 30\/09\/2026, B\u1ed9 tr\u01b0\u1edfng B\u1ed9 T\u00e0i ch\u00ednh ban h\u00e0nh\u00a0Th\u00f4ng t\u01b0 145\/2026\/TT-BTC\u00a0quy \u0111\u1ecbnh ho\u1ea1t \u0111\u1ed9ng \u0111\u0103ng k\u00fd, l\u01b0u k\u00fd, b\u00f9 tr\u1eeb v\u00e0 thanh to\u00e1n giao d\u1ecbch ch\u1ee9ng kho\u00e1n.\u00a0\u00a0 Theo \u0111\u00f3, vi\u1ec7c k\u00fd g\u1eedi ch\u1ee9ng kho\u00e1n \u0111\u01b0\u1ee3c quy \u0111\u1ecbnh c\u1ee5 th\u1ec3 nh\u01b0 sau:\u00a0 1. Vi\u1ec7c k\u00fd g\u1eedi ch\u1ee9ng kho\u00e1n (ngo\u1ea1i tr\u1eeb c\u00f4ng c\u1ee5 n\u1ee3 c\u1ee7a Ch\u00ednh ph\u1ee7, [&hellip;]<\/p>\n","protected":false},"author":5,"featured_media":12142,"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\/12141"}],"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=12141"}],"version-history":[{"count":1,"href":"https:\/\/atslegal.vn\/vn\/wp-json\/wp\/v2\/posts\/12141\/revisions"}],"predecessor-version":[{"id":12143,"href":"https:\/\/atslegal.vn\/vn\/wp-json\/wp\/v2\/posts\/12141\/revisions\/12143"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/atslegal.vn\/vn\/wp-json\/wp\/v2\/media\/12142"}],"wp:attachment":[{"href":"https:\/\/atslegal.vn\/vn\/wp-json\/wp\/v2\/media?parent=12141"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/atslegal.vn\/vn\/wp-json\/wp\/v2\/categories?post=12141"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/atslegal.vn\/vn\/wp-json\/wp\/v2\/tags?post=12141"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}