Thông tư hướng dẫn giao dịch điện tử trên thị trường chứng khoán

C0NG HOA XA HOI CHU NGHIA VIET NAM Boc lap - Ty do - Hanh phuc THONG TIT1 Huong dan giao dich dien tu’ tren thi truong chung khoan CONG THONG TIM QIEN Tl} CHiNH PHU Gid:.. .5............. Ngay:ZZf.9/tolQ DEN Thong tu so 134/2017/TT-BTC ngay 19 thang 12 nam 2017 cua B6 truong Bo Tai chinh huong dan giao dich dien tu tren thi truong chung khoan, co hieu lire thi hanh ke tu ngay 01 thang 3 nam 2018, duoc sua doi, bo sung boi: Thong tu so 73/2020/TT-BTC ngay 07 thang 8 nam 2020 cua Bo truong Bo Tai chinh sua doi, bo sung mot so dieu cua Thdng tu so 134/201 7/TT- BTC ngay 19 thang 12 nam 2017 cua Bo truong Bo Tai chinh huong dan giao dich dien tu tren thi truong chung khoan, co hieu lire thi hanh kk tu ngay 01 thang 10 nam 2020. Can cuLuat Chung khoan ngay 29 thdng 6 nam 2006; Can cu Luat sua doi, ho sung mot so dieu cua Luat Chung khoan ngay 24 thdng 11 nam 2010; Can cu Luat Giao dich dien tu ngay 29 thdng 11 nam 2005; Can cu Luat Cong nghe thong tin ngay 29 thdng 6 nam 2006; Can cu Luat An todn thong tin mang ngay 19 thdng 11 nam 2015; Can cu Nghi dinh so 58/2012/ND-CP ngay 20 thdng 7 nam 2012 cua Chinh phu quy dinh chi tiet vd huong dan thi hanh mot so dieu cua Luat chimg khoan vd Luat sua doi, bo sung mot so dieu cua Luat chung khoan; Can cu Nghi dinh so 60/20 15/ND-CP ngay 26 thdng 6 nam 2015 cua Chinh phu sua doi, bo sung mot so dieu cua Nghj dinh so 58/2012/ND-CP ngay 20 thdng 7 nam 2012 cua Chinh phu quy dinh chi tiet vd huong dan thir \ 99 ? \ hanh mot so dieu cua Luat Chung khoan vd Luat sua doi, bo sung mot so dieu cua Luat Chung khoan; 1 Van ban nay duac hop nhSt tir 02 Thong tu sau: - Thong tu so 134/2017/TT-BTC ngay 19 thang 12 nam 2017 cua Bo truong Bp Tai chinh huong dan giao dich dien tit tren thi truong chung khoan, co hieu l\rc thi hanh kl tir ngay 01 thang 3 nam 2018. - Thong tu so 73/2020/TT-BTC ngay 07 thang 8 nam 2020 cua Bo truong Bp Tai chinh sua d6i, b6 sung mpt so dieu cua Thong tu s6 134/2017/TT-BTC ngay 19 thang 12 nam 2017 cua Bp truong Bp Tai chinh hudng dan giao dich dien tic tren thi truong chung khoan (sau day viet tit la Thong tu so 73/2020/TT-BTC), co hieu lire thi hanh k6 tir ngay 01 thang 10 nam 2020. Van ban hop nhit nay khong thay thi 02 Thong tu tren. 2 Can cu Nghi dink so 42/2015/ND-CP ngay 05 thdng 5 ndm 2015 cua Chink phu ve chung khodn phdi sink vd thi trucmg chimg khodn phdi sink; Can cu Nghi dinh so 27/2007/ND-CP ngdy 23 thdng 02 ndm 2007 cua Chink phu ve giao dich diin tic trong hoat dgng tdi chink; Can cu Nghi dinh so 156/2016/ND-CP ngdy 21 thdng 11 ndm 2016 cua Chink phu sita doif bo sung mot so dieu cua Nghi dinh so 27/2007/ND-CP ngdy 23 thdng 02 ndm 2007 cua Chink phu ve giao dich dien tu trong hoat dong tdi chink; Can cu Nghi dinh so 87/2017/ND-CP ngdy 26 thdng 7 ndm 2017 cua Chinh phii quy dinh chitc ndng, nhiem vu, quyen han vd ca cdu to chuc cua Bo Tdi chinh; Theo de nghj cua CM tick Uy ban Chimg khodn Nhd nude; Bq trucmg Bq Tdi chinh ban hdnh Thong tu hu&ng dan giao dich dien tic tren thi truang chimg khodn2 . Chir<yng I QUY DINH CHUNG Dieu 1. Pham vi dieu chinh Thong tu nay huong dan hoat dong giao dich chung khoan true tuyln, hoat dpng trao doi thong tin dien tu tren thi truang chung khoan va cac hoatr dong khac hen quan den giao djeh dien tu tren thi truang chung khoan. 2 Thong tu so 73/2020/TT-BTC c6 c5n cu ban hanh nhu sau: "‘Can cic Ludt Chimg khodn ngdy 29 thdng 6 ndm 2006; Ludt sica doi, bo sung mQt so dieu cua Ludt Chung khodn ngdy 24 thdng 11 ndm 2010; Can cic Ludt Giao dich dien tic ngdy 29 thdng 11 ndm 2005; Can cic Ludt Cong ngh$ thong tin ngdy 29 thdng 6 ndm 2006; Can cic Ludt An todn thdng tin mang ngdy 19 thdng 11 ndm 2015; Can cu Nghi dinh so 165/2018/NB-CP ngdy 24 thdng 12 ndm 2018 cua Chinh phu quy dinh ve giao dich di?n tic trong hoat dpng tdi chinh; Can cu Nghi dinh so 87/2017/ND-CP ngdy 26 thdng 7 ndm 2017 cua Chinh phii quy dinh chuc ndng, nhiqm v& quyen hgn vd co cdu to chicc cua Bq Tdi chinh; Theo de nghi cua CM tich Uy ban Chung khodn Nhd nude; Bq trucmg Bq Tdi chinh ban hdnh Thdng tu sica doi, bo sung mQt so dieu cua Thdng tu so 134/2017/TT-BTC ngdy 19 thdng 12 ndm 2017 cua Bq trucmg B$ Tdi chinh hu&ng ddn giao dich di$n tic tren thi tru&ng chung khodn. ” 3 Dieu 2. Boi tirang ap dung Doi tucmg ap dung Thong tu nay bao gom: 1. Uy ban Chung khoan Nha nuac, Sd giao dich chung khoan, Trung tam hm ky chung khoan Viet Nam. 2. To chuc, ca nhan tham gia giao dich va boat dong tren thi trudng chung khoan bkng phuong tien dien tu, bao g6m: a) To chuc phat hanh, to chuc niem yet, to chuc dang ky giao dich, cong ty dai chung; b) Cong ty chung khoan, cong ty quan ly quy, cong ty dau tu chung khoan; c) Van phong dai dien, chi nhanh cong ty chung khoan nude ngoai tai Viet Nam; van phong dai dien, chi nhanh cong ty quan ly quy nude ngoai tai Viet Nam; d) Ngan hang thuong mai, chi nhanh ngan hang nude ngoai la thanh vien thi trudng trai phieu hoac thi trudng chung khoan phai sinh, ngan hang giam sat, thanh vien luu ky, thanh vien bu tru, dai ly phan phdi chung chi quy; d) Nha dau tu; e) Cac to chuc, ca nhan khac tham gia giao dich va boat dong tren thi trudng chung khoan bing phuong tien dien tu. Dieu 3. Giai thfch thuat ng£r *» Trong Thong tu nay, cac thuat ngu dudi day duoc hieu nhu sau: 1. Hoat dong giao dich chung khoan true tuyen la boat dong giao dichf chung khoan duac thuc hien thong qua he thong cong nghe thong tin va mdi trudng mang Internet, mang vien thong hoac cac mang md khac, bao gom: Giao dich chung khoan giua nha dau tu va cac to chuc cung cap dich vu giao dich chung khoan true tuyen; giao dich chung khoan giua thanh vien giao dich va Sd giao dich chung khoan; giao dich lien quan den chung khoan giua thanh vien luu ky, thanh vien bu tnr va Trung tam luu ky chung khoan Viet Nam. 2. Hi thong giao dich chung khoan true tuyen la he thong phuc vu quanf \ ly va thuc hien boat dong giao dich chung khoan true tuyen, bao gom: Trang thiet bi phan cung, phan mem, ca sd du lieu, he thong mang vien thong, mang Internet, mang may tinh. 3. Chung tu dien tu trong linh vuc chung khoan la thong diep du lieu ve boat dong giao dich dien tu tren thi trudng chung khoan duac tao ra, duac gui di, duac nhan va duac luu tru b&ng phuong tien dien tu. 4. Phieu lenh dien tu la thong diep du lieu ghi lai nhung thong tin nha dau tu da dat lenh giao dich qua he thong giao dich chung khoan true tuyen tai mot thdi diem nhat dinh ma chi cd nha dau tu do truy cap duac vao he thong thong qua xac thuc truy cap va dat lenh. 4 5. Xdc thuc hai yeu to la phucmg phap xac thyc yeu cau hai yeu to de chung minh tinh dung dan cua mpt danh tinh. Xac thuc hai yeu to dua tren nhung thong tin ma nguoi dung biet nhu so PIN, ma khoa bi mat cung voi nhung thong tin ma nguoi dung co nhu the thong minh, thiet bi token, difn thoai di dpng hoac nhung dau hieu sinh trac hpc cua nguoi dung de xac minh danh tinh. 6. An toan thong tin mang la su bao ve thong tin, he thong thong tin tren mang tranh bi truy nhap, su: dung, tilt 16, gian doan, sua d6i hoac pha hoai trai phep nham bao dam tinh nguyen ven, tinh bao mat va tinh kha dung cua thong tin. 7 3 . Thong tin dinh danh thiet bi ddt lenh Id thong tin gdn voi moi thiet bi dimg de nhdn dang thiet bi khi thuc hien giao dich chung khodn true tuyen. 8. So dien thoai dat lenh la so dien thoai cua nha dau tu dang ky voi to chuc cung cap dich vu giao dich chung khoan true tuyln de thuc hien dat l?nh giao dich chung khoan. 9. Dich vu giao dfch chung khoan true tuyen la dich vu do cac to chuct t f \ cung cap dich vu giao dich chung khoan true tuyen cung cap cho nha dau tu♦ \ r de mo tai kho&n, dat lenh, dua ra yeu cau doi voi cac giao dich chung khoan hoac nhan ket qua giao dich thong qua mang Internet hoac dien thoai. 10. To chuc cung cap dich vu giao dich chung khodn true tuyen la cong ty chung khoan, cong ty quan ly quy va dai ly phan phoi chung chi quy cung cap dich vu giao dich chung khoan true tuyln. 11. Thanh vien luu ky la cong ty chung khoan, ngan hang thuong mai hoat dong tai Viet Nam duyc Uy ban Chung khoan Nha nude cap Giay chung nhan dang ky hoat dong luu ky chung khoan va duqc Trung tarn luu ky chung khoan Viet Nam chap thuan tro thanh thanh vien luu ky. 12. Thanh vien bit trie la cong ty chung khoan, ngan hang thuong mai, chi nhanh ngan hang nude ngoai dugc thuc hien bu tru, thanh toan giao djeh chung khoan phai sinh. * t t p 13. Sued nghiem trgng^ la cac su co ky thuat xky ra doi voi he thong giao dich chung khoan true tuyen gay hau qua la he thong phai dung hoac tarn dung hoat dong. J44 . Ldn thuc hien giao dich Id Ian nha dau tu dang nhap he thong giao dich chung khodn true tuyen de thuc hien ede lenh giao dich chung khodn true tuyen. 3 Kho&n n&y dirge sOra d6i theo quy dinh t$i khodn 1 Dieu 1 cua Thong tu so 73/2020/TT- BTC, c6 hieu l\rc thi hdnh ke tu ngdy 01 thdng 10 ndm 2020. 4 Khodn ndy dugc bo sung theo quy dinh t^ii khodn 1 Didu 1 cua Thong tu so 73/2020/TT- BTC, c6 hi?u I\rc thi hdnh ke tu ngdy 01 thdng 10 ndm 2020. 5 Dieu 4. Nguyen tac giao djch difn tfr tren thi trirtrng chung khoan Giao dich dien tu tren thi tmang chung khoan phai dam bao nguyen tic chinh xac, cong bang, cong khai, minh bach, an toan, hieu qua va phu hop voi Luat Giao dich dien tu, Luat An toan thong tin mang, cac van ban huong dan thi hanh va cac quy dinh phap luat khac co lien quan. Chucnig II HOAT DONG GIAO DICH CHlTNG KHOAN TRyt TUYEN Muc 1 • YEU CAU DICH VV, HA TANG KY THUAT, AN NINH fiAo MAT VA LlTU TRU DU” LIEU Dieu 5. Yeu cau ve dich vu • • 1. Doi vai So giao dich chung khoan va Trung tam luu ky chung khoan Viet Nam: a) Xay dung, ban hanh quy dinh ket noi he th6ng giao dich chung khoan true tuyen, cac quy trinh ve xu ly sir c6, du phong he thdng, kiem soat rui ro trong boat dong giao dich chung khoan true tuyen phu hop vai Luat Giao dich dien tu, Luat An toan thong tin mang, cac van ban hudng dan thi hanh va quy dinh tai Thong tu nay; e f b) Dam bao cung cap boat dong giao dich chung khoan true tuyen cong khai, cong bang, minh bach, an toan va hieu qua cho cac thanh vien su dung cung mot loai dich vu. r f 2. Doi vai cong ty chung khoan cung cap dich vu giao dich chung khoan true tuyen: r r f a) True tiep cung cap dich vu giao dich chung khoan true tuyen cho nha dau tu; b) Xay dung trang thong tin dien tu vai ten mien da dang ky tren mangr r Internet de cung cap dich vu giao dich chung khoan true tuyen. Cac chuang7 t trinh, ung dung dung de giao dich chung khoan true tuyen phai dang tai hoac tich hop tren trang thong tin dien tu nay; c) Ban hanh quy trinh thuc hien dich vu giao dich chung khoan truer \ tuyen bao gom: Quy trinh van hanh theo doi quan tri hang ngay; quy trinh dang ky, huy su dung dich vu giao dich chung khoan true tuyen; quy trinh vef r 9 xu ly su co; quy trinh sao luu du phong he thong, du lieu; quy trinh kiem soat rui ro trong boat dong cung cap dich vu giao dich chung khoan true tuyen cho nha dau tu va cac quy trinh khac phu hop Luat Giao dich dien tu, Luat An toan thong tin mang, cac van ban huong dan thi hanh va quy dinh cua Thong tu nay, trong do phai neu ro trach nhiem cua doi tuong tham gia quy trinh; 6 d) Bo tri dpi ngu nhan vien co bang cap, chung chi cong nghe thong tin ve quan tri phan mlm, quan tri he thong va an ninh thong tin de quan ly va giam sat cac boat dong cua he thong giao dich chung khoan true tuyin dam bao lien tuc va thong suot; d) Viec cung cap va su dung dich vu giao dich chung khoan true tuyen vai nha dau tu phai dugre the hien bang herp dong hoac dieu khoan cua hop dong mo tai khoan giao dich chung khoan, trong do quy dinh cu the ve phuong thuc giao djeh chung khoan true tuyln, nhung rui ro co the xay ra khi thuc hien giao dich chung khoan true tuyen theo quy dinh tai khoan 1 Bleu 15 Thong tu nay, trach nhiem boi thuong cua moi ben khi xay ra rui ro va trach nhiem khac lien quan den boat dong giao dich chung khoan true tuyen; e) Ghi nhan thong tin ve cac yeu cau giao dich cua nha dau tu tren he* ✓ • thong giao dich chung khoan true tuyen. Cac thong tin nay phai luu tru de tra cuu duoc theo thoi gian, phien dang nhap, ket qua thuc hien giao dich, so du phat sinh truac va sau giao dich doi voi tai khoan cua nha dau tu; g) Thong bao ket qua thuc hien lenh giao dich cho nha diu tu ngay sau khi lenh dugc khop tren he thong giao dich chung khoan true tuyen. 3. Cong ty quan ly quy, dai ly phan phoi chung chi quy cung cap dich vu giao dich chung khoan true tuyen phai dap ung cac yeu cau theo quy dinh tai diem a, b, c, d, e va g khoan 2 Bieu nay. Dieu 6. Yeu cau ve ha tang, ky thuat he thong giao dich chung khoan true tuyen 1. Boi vai cong ty chung khoan cung cap dich vu giao dich chung khoan true tuyen: a) He thong giao dich chung khoan true tuyen phai tach biet ve mat vat ly vai cac he thong kinh doanh khac cua cong ty de dam bao an toan thong tin* f mang, giam thieu rui ro va tranh xung dot giua cac he thong; b) Trang bi may chu chuyen dung cho he thong giao dich chung khoanr true tuyen, khong su dung may tinh ca nhan dong vai tro may chu va khong su dung chung vai may chu cua cac don vi hoac cong ty khac. Trang thiet bi cong nghe thong tin chuyen dung cho he thong giao dich chung khoan true tuyen phai co du phong; c) Khu vuc dat he thong giao dich chung khoan true tuyen phai bao d&m cac dieu kien an ninh, moi truang va an toan he thong: Khu vuc rieng biet, co he thong khoa tu hoac thiet bi tuong duang kiem soat vao ra, he thong ghi hinh; he thong bao chay va chua chay chuyen dung; he thong dieu hoa khong khi, theo doi kiem soat nhiet do va dp am; hg thong luu dien va may phat dienf f \ d\r phong chuyen dung; he thong chong set lan truyen; d) Cong ty co the thue cho dat he thong giao dich chung khoan truef tuyen tai cac trung tarn du lieu (Data Center). Cac trung tarn dir lieu nay phai 7 dam bao tuan thu theo quy dinh cua phap luat ve boat dong cua Data Center. He thong giao dich chung khoan true tuyen dat tai Data Center phai co cac giai phap dam bao tranh truy cap va khai thac du lieu bat hop phap; d)s He thong giao dich chung khoan true tuyen phai tich hpp gidi phapt \ f r + j de nhd ddu tu sir dung chung thu so, chit ky so cua to chuc cung cap dich vu chung thuc chit ky so cong cqng khi thuc hien lenh giao dich chung khoanft f + true tuyen. He thong giao dich chung khoan true tuyen co the tich hop them gidi phap theo quy dinh tai diem a vd diim c khoan 1 Diiu 8 Thong tu nay. * ft Viec trien khai dp dung chung thu so, chit ky so trong giao dich chung khoan cua nhd ddu tu thuc hien theo huong dan cua Uy ban Chung khoan Nhd nude; e)6 Cung cap phuemg thuc giao dich qua dien thoqi phai trang bf he thong tong ddi hodc thiet bi co chuc ndng ghi dm, qudn ly, tra cuu cuqc gqi. Moi cuoc goi dat lenh cua nhd ddu tu phai dupe ghi dm, lieu tru day du vd phai dam bao an ninh thong tin vd bao mat dit lieu; f * , g) Ap d\mg nhung bifn phap ky thuat hoac quan ly de thiet lap cac muc giai han ve mua ban chung khoan theo quy dinh cua phap luat cho nha dau tu tham gia dich vu giao dich chung khoan true tuy§n. Cac giai han nay phai* f dupe thong bao cho nha dau tu tren trang giao dich chung khoan true tuyen va phai co quy trinh phe duyet doi vai su thay doi cac muc giai han nay. t 2. Doi vai cong ty quan ly quy, dai ly phan phoi chung chi quy cung cap dich vu giao dich chung khoan tryre tuy4n phai dap ung cac yeu cau theo quy dinh tai diem a, b va e khoan 1 va khoan 3 Dieu nay. 3. Sa giao dich chung khoan, Trung tarn luu ky chung khoan Viet Nam, to chuc cung cap dich vu giao dich chung khoan true tuyen phai co phuang an du phong cho he thong giao dich chung khoan true tuyen va cung cap phuang thuc giao dich thay the trong truang hap he th6ng giao dich chung khoan true tuyen gap sir co. . Dieu 7. Quy dinh ve an ninh bao mat thong tin va luu tru du lifu cua to chuc cung cap dich vu giao dich chung khoan true tuyen 1. Trang thong tin dien tu, h§ thong thu dien tu cua to chuc cung cap dich vy giao dich chung khoan true tuyen phai dupe xac thuc bai chung thu so. 5 Di§m ruky dirge sOra doi theo quy dinh tai kho&n 2 Dieu 1 cua Thong tu so 73/2020/TT- BTC, c6 hi?u lye thi h&nh ke tu ng&y 01 th&ig 10 n&m 2020. 6 Diem n&y dugc sOra d6i theo quy dinh yii kho&n 2 Dieu 1 cua Thong tu s6 73/2020/TT- BTC, c6 hifu lyc thi h^nh ke tir ng4y 01 tiling 10 nSm 2020. 8 2. He thong giao dich chung khoan true tuyen phai dugc thilt lap de ngan chan viec truy cap bat hgp phap vao he thong kinh doanh n$i bo thong qua hoat dgng giao dich true tuyen va phai dugc phan quyen h$ thong giua cac bg phan nghiep vu co tiem an xung dpt Igi ich theo quy trinh kiem soat ngi bg. 3. He thong phan mem ung dyng truac khi dua vao khai thac, van hanh phai dugc ra soat, quet 16 hong bao mat va co bao cao danh gia bing bien ban. Moi truong van hanh he thong phan mem giao dich chung khoan true tuyen phai tach biet vai moi truong kiem thu, moi truong phat trien phan mem. Binh ky thuc hien danh gia.rui ro an toan thong tin mang cua he thong giao dich chung khoan true tuyen mot (01) nam mot (01) lan. 4. He thong giao dich chung khoan true tuyen phai co cac giai phap ky thuat dam bao an toan thong tin mang va bao mat du lieu he thong. 5. Cac chung tu dien tu, phieu lenh dien tu, du lieu dien tu va ghi am cac cuoc ggi dat lenh cua khach hang, bao gdm ca lenh huy phai dugc luu trir it nhat muoi (10) nam 6 dang nguyen ban. 6. Thong tin ve khach hang su dung dich vu giao dich true tuyen, cac lenh giao dich va thong tin trao doi tren he thong phai dugc ma hoa tren duong truyen va 6 muc ung dung, dugc bao mat theo quy djnh cua phap luat trir khi co yeu cau tu ca quan quan ly nha nuac co tham quyen. Dieu 8. Quy dinh ve xac thuc 1. Cac giai phap xac thuc ap dung trong giao dich chung khoan true tuyen phai co do an toan toi thieu tuang duang giai phap xac thuc hai yeu to tra len, bao gom: a) Giai phap xac thuc hai yeu to; b) Giai phap xac thuc su dung chung thu so; c) Cac giai phap xac thuc khac dugc phap luat cho phep va phu hgp vai cac quy dinh cua ca quan co thim quyen. 2 7. Khi dgt lenh qua dien thogi, nhd ddu tu phai su dung so dien thogi dat lenh va phai cung cap thong tin de xac thuc theo quy dinh tgi diem a khoan 1 Dieu nay. Giao dich chi dugc thuc hien khi thong tin nhd ddu tu cung cap trung khdp voi thong tin nhd ddu tu da dang ky vd Itm trong he thong giao dich chung khoan true tuyen. 3. Nha dau tu dugc Iga chgn giai phap xac th\rc do to chuc cung cap dich vu giao dich chung khoan true tuyen cung cap khi dang ky su dung dich vu giao dich chung khoan true tuyen va dugc dang ky lai giai phap xac thuc> khi co nhu cau. 7 Kho4n nay dugc sua doi theo quy dinh tai kho&n 3 Dieu 1 cua Thong tu so 73/2020/TT- BTC, c6 hieu l\rc thi h&nh ke tu ng&y 01 th£ng 10 nam 2020. 9 4 8 , Moi Ian thuc Men giao dick chung khodn true tuyen, nhd ddu tu phdi thuc Men xdc thuc theo quy dinh tai Dieu nay. Dieu 9. Quy dinh ve phieu lenh dien tu* l9 . Phieu lenh dien tu phdi co toi thieu ede thong tin: So hieu lenh, loai lenh, so tdi khodn dot lenh, phuemg thuc giao dich, md chung khodn hoqc ten chung khodn, so luang vd gid giao dich, thai gian giao dich (ndm, thdng, ngdy, gid, phut), thong tin dinh danh thiet bi dqt lenh. 2. Phieu lenh huy phai co thong tin ve so hieu lenh, khoi luang hiiy va xac nhan lenh huy. 3 W. Phieu lenh dien tie phdi duac ky bang chu ky so hoqc gdn lien, ket hap mot each 16 gic vai thong tin xdc thuc cua nhd ddu tu theo quy dinh tai Dieu 8 Thong tu nay vd dap ung quy dinh tai ede van ban quy phqm phdp ludt ve giao dich dien tie. 4. Phieu lenh dien tu trong giao dich chung chi quy phai dam bao day du cac thong tin theo quy dinh cua phap luat ve giao dich chung chi quy va dap ung quy dinh tai khoan 3 Dieu nay. Muc 2 DANG KY, THU H6l CHAP THUAN CUNG CAP DICH Vy GIAO DICH CHUNG KHOAN TRUC TUYEN Dieu 10. Doi tuong dang ky cung cap dich vu giao dich chung khoan true tuyen Doi tuong dang ky cung cap dich vu giao dich chung khoan true tuyen la cong ty chung khoan thanh vien cua So giao dich chung khoan, da thuc hien ket noi vai he thong giao dich cua So giao dich chung khoan va khong thupc truang hop sau: * 1. Dang trong qua trinh giai the, pha san, tam ngung hoat dong hoac bi ngung giao dich de cham dut tu each thanh vien tai Sa giao dich chung khoan. 2. Bi rut nghiep vu moi giai hoac dang thuc hien thu tuc rut nghiep vu moi gidi. 8 Khoan nay dupe bo sung theo quy dinh 1#i khoan 3 Bidu 1 cua Thong tu s6 73/2020/TT- BTC, c6 hieu Ipc thi hanh k6 tu ngay 01 thang 10 nam 2020. 9 Khoan nay duac sua d6i theo quy dinh tai kho&n 4 Dieu 1 cua Thong tu so 73/2020/TT- BTC, c6 hieu lire thi hanh k6 tir ngay 01 thdng 10 nam 2020. 10 Khoan nay duac sira doi theo quy dinh tai khodn 4 Dieu 1 cua Thong tu so 73/2020/TT- BTC, c6 hieu lire thi hanh k6 tu ngay 01 thdng 10 nam 2020. 10 3. Bi kiem soat, kiem soat dac biet 4. Cac truang hop bi dinh chi hoat dong khac theo quy dinh cua phap luat. £>ieu 11. Ho dang ky cung cap dich vu giao dich chung khoan tryc tuyen Ho so dang ky cung cap dich vu giao dich chung khoan true tuyen bao gom: 1. Don dang ky cung cap dich vu giao dich chung khoan true tuyen theo mau quy dinh tai Phu luc so 01 ban hanh kem theo Thong tu nay. 2. Danh sach ten va ly lich cua cac chuyen gia quan ly he thong giao dich chung khoan true tuyen theo mau quy dinh tai Phu luc so 02 ban hanh kem theo Thong tu nay. 3. Bao cao thiet ke he thong giao dich chung khoan true tuyen theo mau quy dinh tai Phu luc so 03 ban hanh kem theo Thong tu nay. 4. Ban sao co chung thuc van ban chap thuan va bien ban kiem tra he thong giao dich chung khoan true tuyen cua Sd giao dich chung khoan doi voi thanh vien giao dich. Dieu 12. Thu tuc chap thuan cung cap dich vu giao dich chung khoan true tuyen Cong ty chung khoan lap ho so theo quy dinh tai Dieu 11 Thong tu nay va lira chon phuong thuc giai quyet thu tuc voi Uy ban Chung khoan Nha nuac thong qua he thong dich vu cong true tuyen cua Uy ban Chung khoan Nha nuac hoac nop ho so true tiep hoac dich vu buu chinh cong ich. 1. Trong thdi han nam (05) ngay lam viec ke tir ngay nhan duac ho sa theo quy dinh tai Dieu 11 Thong tu nay, trudng hop ho sa can sua doi bo sung, Uy ban Chung khoan Nha nude co van ban yeu cau bo sung hoac giai trinh bang van ban doi vdi trudng hop ho sa chua hop le. 2. Trong thdi han mudi (10) ngay lam viec ke tu ngay nhan dugc van > 9 9 y 9 ban yeu cau sua doi, bo sung ho sa cua Uy ban Chung khoan Nha nude, edng ty chung khoan phai hoan chinh ho sa theo yeu cau gui Uy ban Chung khoan f 9 \ Nha nude. Sau thdi han nay neu cong ty chung khoan khdng bo sung ho sa theo yeu cau, Uy ban Chung khoan Nha nude cd quyen tu chdi chap thuan. 9 3. Trong thdi han hai muai (20) ngay lam viec, ke tu ngay nhan dugc ho sa day du, hop le, Uy ban Chung khoan Nha nude xem xet va quyet dinh chap thuan cung cap dich vu giao dich chung khoan true tuyen cho cong ty chung khoan. Trudng hgp tir chdi, Uy ban Chung khoan Nha nude phai tra Idi bang van ban va neu rd ly do. 11 Dieu 13. Thu hoi quyet dinh chap thuan, tam dung cung cap dich vu giao d|ch chung khoan tru*c tuyen 1. Truong hop cong ty chung khoan hi tam ngung boat dong hoac bi dinh chi hoat dong moi gioi chung khoan hoac bi dinh chi toan bo hoat dong, cong ty chung khoan phai tam dung cung cap dich vu giao dich chung khoan r r r true tuyen cho den khi khac phuc duoc cac tinh trang nay. 2. Cong ty chung khoan bi thu hoi Quyet dinh chap thuan cung cap dich vu giao dich chung khoan true tuyen trong cac trudng hop sau: a) Da dang ky rut nghiep vu moi gioi chung khoan va da duoc su chap thuan cua Uy ban Chung khoan Nha nude; b) Bi rut nghiep vu moi gioi chung khoan; c) Bi cham dut tu each thanh vien vdi cac So giao dich chung khoan; d) Bi sap nhap, bi chia, bi hgp nhit; d) Bj giai the, bi pha san, thu hoi Giay phep thanh lap va hoat dong; e) Khong duy tri, dap ung duoc cac quy dinh tai khoan 2 Bi8u 5, khoan 1 va khoan 3 Dieu 6, Dieu 7, khoan 1 Dieu 8 va khoan 3 Dieu 9 Thong tu nay; \ r r g) Ho so dang ky cung cap dich vu giao dich chung khoan true tuyen co thong tin sai su that; h) Cac trudng hop khac do yeu cau tu phia co quan quan ly hoac do cong ty tu nguyen nop don xin ngung cung cap dich vu giao dich chung khoan true tuy6n. 3. Cong ty chung khoan bi thu hdi quyet dinh chap thuan cung cap dich vu giao dich chung khoan true tuyen theo quy dinh tai cac diem b, c, e va g khoan 2 Dieu nay duoc dang ky cung cap lai dich vu giao dich chung khoan true tuyen. 4. Cong ty chung khoan bi thu hoi quyet dinh chap thuan cung cap dich vu giao dich chung khoan true tuy4n theo quy dinh tai khoan 2 BiSu nay phai duy tri va dam bao thdi gian luu tru du lieu cua he thong giao dich chung khoan true tuyen de thuc hien cac nghia vu theo quy dinh cua phap luat. \ r r / 5. Trinh tu thu hoi quyet dinh chap thuan cung cap dich vu giao dich chung khoan true tuyen cua cong ty chung khoan duoc thuc hien theo hudng dan cua Uy ban Chung khoan Nha nuoc. 12 Muc 3 BAO CAO VA CONG BO THONG TIN TRONG HOAT D0NG GIAO DICH CHUNG KHOAN TRl/C TUYEN Bieu 14. Quy dinh ve bao cao trong boat dong giao dich chung khoan true tuyen 1. Cong ty chung khoan duoc chap thuan cung dip dich vy giao dichf *> chung khoan true tuyen phai gui Uy ban Chung khoan Nha nuoc cac bao cao sau: a) Bao cao nam ve boat dong giao dich chung khoan true tuyen theo mau quy dinh tai Phu luc so 04 ban hanh kem theo Thong tu nay trong vong•» r ba much (30) ngay ke tu ngay ket thuc nam; f b) Bao cao kem theo cac tai lieu lien quan khi co nang cap, thay doi he thong giao dich chung khoan true tuyen: Thay doi core he thong, thay doi phuong thuc giao dich, thay doi nhan sir edng nghe thong tin, thay doi dia diem dat he thong theo mau quy dinh tai Phu luc so 08 ban hanh kem theo Thong tu nay. Thai han nop bao cao trong vong bay (07) ngay lam viec sau khi cong ty chung khoan thuc hien nang cap hoac thay doi. 2. So giao dich chung khoan gui Uy ban Chung khoan Nha nude cac bao cao sau: a) Bao cao nam ve he thong giao dich chung khoan true tuyen theo mau quy dinh tai Phu luc so 05 ban hanh kem theo Thong tu nay trong vong bao r muoi (30) ngay ke tu ngay ket thuc nam; b) Bao cao ve cac thay doi quy dinh tieu chuan cong nghe doi vdi thanh vien giao dich cua Sd giao dich chung khoan. Thai han bao cao trong vong9 bay (07) ngay lam viec sau khi co thay doi. 3. Trung tarn luu ky chung khoan Viet Nam gui Uy ban Chung khoan Nha nude bao cao nam ve tinh hinh giao dich chung khoan true tuyen theo mau quy dinh tai Phu luc so 06 ban hanh kem theo Thong tu nay trong vong*> F ba muai (30) ngay ke tir ngay ket thuc nam. F^ F 4. Trong vong hai muai bon (24) gid ke tu khi xay ra cac sir co nghiemf r f trong lien quan den he thong giao dich chung khoan true tuyen, Sd giao dich chung khoan, Trung tarn luu ky chung khoan Viet Nam, cong ty chung khoan phai gui bao cao theo mau quy dinh tai Phu luc so 07 ban hanh kem theo Thong tu nay. 5. Cong ty quan ly quy, dai ly phan phoi chung chi quy phai bao cao Uy ban Chung khoan Nha nude tai lieu quy dinh tai khoan 3 Dieu 11 Thong tu nay toi thieu nam (05) ngay lam viec trude ngay trien khai he thong giaoF \ A dich chung khoan true tuyen cho nha dau tu; thuc hien bao cao nam ve boat dong giao dich chung khoan true tuyen theo mau quy dinh tai Phu luc so 04 13 ban hanh kem theo Thong tu nay trong vong ba muoi (30) ngay ke tu ngay ket thuc nam. 6. Bao cao phai dirac gui bSng ban dien tu tren cac he th6ng trao d6i thong tin dien tu theo huong dan cua Uy ban Chung khoan Nha nuoc. Bieu 15. Cong bo thong tin trong boat dong giao dich chiing khoan true tuyen 1. Trang thong tin dien tu chinh thuc va phan mhm ung dung phuc vu giao dich chung khoan true tuyen cho nha dku tu cua cong ty chung khoan, cong ty quan ly quy, dai ly phan phoi chung chi quy phai cong b6 cac quy dinh ve dich vu giao dich chung khoan true tuyen va nhung rui ro co the xay ra khi nha dau tu thuc hien giao dich chung khoan true tuyln. Cac rui ro bao gdm: a) Trong khi truyen tai qua mang internet, lenh giao dich co the bi treo, bi ngimg, bi tri hoan hoac co loi du lieu; 9 \ v b) Viec nhan dang cac to chuc hoac nha dau tu co the khong chinh xac, loi ve bao mat co the xay ra; c) Gia ca thi truemg va cac thong tin chung khoan khac co the co 16i hoac sai lech; d) Nhung rui ro co the xay ra cua cac phuong thuc xac thuc dat lenh cho nha dau tu; d) Nhung rui ro khac ma cac co quan quan ly nha nuoc co tham quyen, cong ty chung khoan, cong ty quan ly quy, dai ly phan phoi chung chi quy thay can thiet phai cong bo. 2. So giao dich chung khoan cong bo tren trang thong tin dien tu cua So giao dich chung khoan quy dinh phap luat lien quan den giao dich dien tu tren thi truong chung khoan va cac van ban quy dinh vk boat dong giao dich dien tu do So giao dich chung khoan ban hanh. 3. Trung tam luu ky chung khoan Viet Nam cong bo tren trang thong tin dien tu cua Trung tam luu ky chung khoan Viet Nam danh sach cac san pham, dich vu giao dich chung khoan true tuyen duac phep cung cap; quy dinh phap luat lien quan den giao dich dien tu tren thi truong chung khoan va cac van ban quy dinh ve boat dong giao dich dien tu do Trung tam luu ky chung khoan Viet Nam ban hanh. 4. Uy ban Chung khoan Nha nuoc dang tai tren cong thong tin dien tu Uy ban Chung khoan Nha nuoc danh sach cong ty chung khoan duoc phep cung cap dich vu giao dich chung khoan true tuyen, thu tuc, quy dinh ve ho so dang ky cung cap dich vu giao dich chung khoan true tuyen, danh sach cong ty chung khoan bi thu hoi quyet dinh chap thuan cung cap dich vu giao dich chung khoan true tuyen. 14 Chmmg HI HO£T DONG TRAO D6l THONG TIN DI^N Tlf Dieu 16. Quy dinh ve boat dong trao doi thong tin dif n tir 1. Noi dung trao doi thong tin dien tu bao g6m thong tin trao doi qua Internet hoac mang rieng lien quan den cac hoat dong sau: a) Chao ban chung khoan ra cong chung, dang ky chung khoan, luu ky chung khoan, niem yet, dang ky giao dich va giao dich chung khoan; b) Hoat dong quan ly cac to chuc, ca nhan theo quy dinh tai khoan 2 Dieu 2 Thong tu nay; ✓ c) Hoat d$ng cong bo thong tin tren thi truong chung khoan; d) Hoat dong khac lien quan den thi truong chung khoan theo quy dinh cua phap luat chung khoan. If 9 2. To chuc cung cap dich vu trao doi thong tin dien tu co trach nhiem: a) Tao lap trang thong tin dien tu tren mang Internet dong vai tro nhu mpt cong vao cho dich vu trao doi thong tin dien tu; b) Bao mat thong tin cho cac doi tuong dang ky su dung dich vu va dam bao an toan thong tin cho he th6ng trao doi thong tin dien tu; c) Ban hanh quy che huong dan ve dich vu trao doi thong tin difn tu. f ♦ 3. Doi tuong tham gia trao doi thong tin dien tu dang ky su dung dichf ** 9 / « vu va thuc hien theo quy che huong dan cua to chuc cung cap dich vu trao doi thong tin dien tu. 4. Viec su dung chung thu so, chu ky so trong hoat dong trao doi thong tin dien tu dugc thuc hien theo quy djnh cua phap luat ve giao dich dien tu trong hoat dong tai chinh. Chirong IV TRACK NHIEM CUA CAC CO QUAN, T6 CHLTC, CA NHAN THAM GIA HO£T DQNG GIAO DICH DIEN TU” TREN THI TRUONG CHUNG KHOAN Dieu 17. Trach nhiem cua cac to chirc, ca nhan tham gia hoat d§ng giao d{ch dien tu tren thj truong chung khoan 1. Tuan thu quy dinh trong hoat d§ng giao dich chimg khoan va thi truong chung khoan. 2. Tuan thu quy dinh ve bao ve thong tin trong hoat dpng giao dich dieny y yf tu va cac quy dinh ve an toan bao mat, ve nhan su, ve he thong du li$u. 3. Thuc hien luu giu day du ho so, tai lieu chung tu lien quan din hoat dong giao dich chung khoan true tuyen cua cong ty. Lap, xac nhan ho so dang 15 ky ciing cap dich vn giao dich chung khoan true tuyen co thong tin chinh xac,7 ^ % th\rc hien sura doi, bo sung ho so khi phat hien thong tin khong chinh xac va khong dugc bo sot npi dung quan trong theo quy dinh. Thuc hien luu giu thong tin da bao cao theo quy dinh cua phap luat. 4. Cong ty chung khoan khong dugc cung cap dich vu giao dich chung khoan true tuyen khi chua dugc Uy ban Chung khoan Nha nuoc chap thuan hoac khi quyet dinh chap thuan bi thu hoi. 5. Thuc hien bao cao dung thoi han, bao cao day du noi dung theo quy dinh cua phap luat hoac theo yeu cau cua Uy ban Chung khoan Nha nuoc. Dieu 18. Kiem tra, giam sat boat dong giao djeh dien tur tren thi triro’ng chung khoan 1. Uy ban Chung khoan Nha nuoc co trach nhiem giam sat, kiim tra dinh ky hoac bat thuong doi vai So giao dich chumg khoan, Trung tam luu ky chung khoan Viet Nam, cong ty chung khoan, cong ty quan ly quy, dal ly phan phoi chung chi quy va cac to chuc, ca nhan khac ve thuc hien giao dich dien tu tren thi truong chung khoan theo quy dinh hoac khi xay ra su co anh huong den quyen Igi cua nha dau tu va su an toan cua thi truong chung khoan. 2. So giao dich chung khoan, Trung tam luu ky chung khoan Viet Nam co trach nhiem phoi hgp giam sat boat dong giao dich chung khoan true tuyen9S S 7 cua to chuc cung cap dich vu giao dich chung khoan true tuyen va cac to chuc, ca nhan co lien quan theo yeu cau cua Uy ban Chung khoan Nha nuoc. 7 3. To chuc, ca nhan tham gia giao dich dien tu tren thi truong chung khoan co trach nhiem cung cap day du, kip thoi thong tin, du lieu va cac tai lieu lien quan den boat dong giao dich dien tu khi co yeu cau cua co quan co7 * tham quyen. Chtrong V DIEU KHOAN THI HANH 11 Dieu 19. Hieu lire thi hanh Thong tu nay co hieu luc thi hanh ke tu ngay 01 thang 3 nam 2018 va thay the Thong tu s6 87/20 13/TT-BTC ngay 28 thang 6 nam 2013 cua Bo truong Bo Tai chinh huong dan giao dich dien tu tren thi truong chung khoan.. 11 Bidu 2 Thong tu so 73/2020/TT-BTC quy dinh nhu sau: “Diiu 2. Dieu khoan thi hanh 1. Thong tu nay co hi$u luc thi hanh hi tu ngay 01 thang 10 nam 2020. 2. Uy ban Chung khoan Nha nude, So giao djeh chung khoan, Trung tam luu ky chung khoan Viet Nam va ede to chuc, cd nhan tham gia giao dich di$n tu tren thi truong chung khoan chfu trach nhi?m thi hanh Thong tu nay./” 16 Dieu 20. To chirc thirc hien 1. Trong vong sau (06) thang ke tu ngay Thong tu nay co hieu luc thi •> / hanh, cac cong ty chung khoan da duac Uy ban Chung khoan Nha nude chap thuan cung cdp dich vu giao dich chung khoan true tuyen trude ngay Thong r tu nay cd hieu luc thi hanh cd trach nhiem hoan thien he thong giao dich chung khoan true tuyen, dam bao dap ung yeu cau ve dich vu, ha tang ky thuat, an ninh bao mat, yeu cau ve xac thuc va luu tru du lieu theo quy dinh cua Thong tu nay. 2. Uy ban Chung khoan Nha nude hudng dan, ban hanh tieu chuan ky thuat vl ung dimg cong nghe thong tin trong giao dich dien tu tren thi trudng chung khoan. 3. Uy ban Chung khoan Nha nude, Sd giao dich chung khoan, Trung tarn luu ky chung khoan Viet Nam va cac td chuc, ca nhan tham gia giao dich dien tu tren thi trudng chung khoan chiu trach nhiem thi hanh Thong tu nay./. Bp tAi chink 86:3 ? /VBHN-BTC XAC THpC VAN BAN HQfP NHAt Ha Noi, ngay4 O' thang c/ nam 2020 KT. BO TRLfONG ^aEJULT TRlTONG Noi nhan: - Van phong Chinh phu (de dang cong bao); - Cong thong tin difn tur Chinh phu; - Cong thong tin di?n tur Bp Tai chinh; - Luu: VT, UBCKNN (12b).^ I * ^H^ynh Quang Hai Phu luc so 01. Mau don dang ky cung cap djch vu giao dich chirng khoan tryc tuyen (Ban hanh kem theo Thong tu so 134/2017/TT-BTC ngqy 19 thong 12 ndm 2017 cua Bo truang Bo Tdi chinh huang dan giao dich dien tu tren thi tncdng chung khoan) CQNG HOA XA HQI CHU NGHIA VlfT NAM Doc lap - Tir do - Hanh phuc , ngdy... thdng ... ndm ... DOfN DANG KY CUNG CAP DICH VU GIAO DICH CHUNG KHOAN TR^C TUYEN Kinh gui: Uy ban Chung khoan Nha nude Ten day du cua cong ty (ghi bang chu in hoa): Ten viet tat:..................................................... Diryc thanh lap theo Giay phep thdnh Ipp vd hoat dong so ... ngdy ... do Uy ban Chirng khoan Nha nurdc cap, dang ky cung cap dich vu giao dich chirng khoan true tuyen cho khach hang. I. Cac thong tin chung: 1. Bia diem: 1.1. Tru sd chinh: - Bia chi:........... - Bien thoai:....... - Website:......... . * - Bia chi trang thong tin dien tu de truy nhap vao dich vu giao dich chung khoan true tuyen cua cong ty:................................................................... 1.2. Cac chi nhanh, phong giao dich: - Chi nhanh 1, Phong giao dich 1/Van phong dai dien 1: Ten, dia chi, dien thoai, Fax. - Chi nhanh 2, Phong giao dich 2/Van phong dai dien 2: Ten, dia chi, dien thoai, Fax... 2. Cac nghiep vu kinh doanh da duoc cap phep: Moi gidi chung khoan Tu doanh chung khoan .Fax:.. Email: □ □ 2 □ Bao lanh phat hanh chung khoan r \ Tu van dau tu chung khoan Luu ky chung khoan Nghiep vu khac:..................... □ □ II. Phirung thirc giao dich chung khoan true tuyen: 1. Giao dich qua Internet 2. Giao dich qua dien thoai 9 r 3. Phucmg thuc khac (ghi cu the phuong thuc, neu co): □ □ Chung toi xin cam doan nhung loi khai tren day la chinh xac, trung thuc va cam ket tuan thu day du cac quy dinh phap luat ve chung khoan va thi truong chung khoan, giao dich dien tu. Neu vi pham chung toi xin hoan toan chiu trach nhiem. Nguoi dai dien theo phap luat {Ky, dong ddu, ghi ro ho ten) Phu luc so 02. Danh sach ten va ly lich cua cac chuyen gia quan ly he thong giao djch chitng khoan true tuyen (Ban hanh kem theo Thong tu so 134/2017/7T-BTC ngay 19 thong 12 nam 2017 cua Bo tru’dng Bo Tai chink huang dan giao dich dien tie tren thi truang chieng khoan) CONG HOA XA HQl CHU NGHIA VIET NAM Doc lap - Tu do - Hanh phuc ...., ngay... thdng... nam ... DANH SACH DQINGU NHAN VIEN CHUYEN MON VE CONG NGHE THONG TIN QUAN LY HE THONG DICH VJJ GIAO DICH CHUNG KHOAN TRV*C TUYEN Van b^ng, chung chi Vi tri cong vile dam nh|n Hq vh t^n STT 3(2) Van bang(1) Chung chi 1 2 Ghi chit: (1) Van bang (tot nghiep cao dang tro len): Tien sy, Thac sy, Cu nhdn, Ky su,... (2) Chung chi: Chung chi chuyen mon lien qiian din cong nghe thong tin. Chung toi cam doan hoan toan chiu trach nhiem vb tinh chinh xac, trung thuc nhtog noi dung tren. Ngufri dai dien theo phap luat (Ky, dong ddu, ghi ro ho ten) CONG HOA XA H0I CHU NGHIA VI$T NAM i)9C lap - Tu' do - Hanh phuc LY LICH CHUYEN GIA CONG NGHE THONG TIN Anh chan dung 4x6 Giai tinh: nam/nu; Nod sinh:............ 1) Hpvaten: 2) Ngay, thang, nam sinh: 3) Qu6c tich: 4) So chungminh thunhandan/hp chieu (hoac ma sd dinh danh canhan): ngay cap....... nai cdp............ ngay gia tri hieu l\rc (doi vdi ho chieu).... 5) Nai dang ky ho khiu thucmg tru: so nha..... phuang/xa.... quan/huyen. tinh/thanhph6.... 6) Ch§ a hien tai: 7) Trinh dp van hoa: 8) Trinh dp chuyen mon cao nhat: 9) Qua trinh hoc tap, dao tao chuyen mon lien quan den cong nghe thong tin(1): Van bSng, chung chi Chuyen ng&nh dao tao, boi diroug Ten c<y sir d^o tao Tfr thang, nam den thang, n&m Hinh thirc dao tao(2) van Chung chi(4) bang^ 10) Kinh nghipm lam viec (li$t ke tat cd cdc cong vise, die an, sdn phdm dd tham gia phdt triin, xdy dwig) Ten cong ty/dv an/san pham da lam hoac tham gia Tfr thang, nam den thang, nam Vj tri cong vi?c c6 liln quan T6i cam ket va chiu trach nhiem ve tinh chinh xac, trung thuc cac npi dung noi tren. Xac nhan cua don vj cong tac Ngirdi khai (Ky, ghi ro ho ten) Ghi chu: (1) Tdi li$u gui hem: Bang tot nghi$p, cdc chung chi lien quan (ban sao c6 xac nhan sao y ban chinh cua dem v/ cong tdc, hem theo ban djeh tieng Viet neu la van bang, chung chi nude ngodi). Linh vuc chuyen mon lien quan den cong nghe thong tin bao gom: khoa hoc may tinh va thong tin, he dieu hanh, he thing mqng may tinh, truyen thong die lieu va an toon he thdng, cong nghe thong tin va ung dung,... (2)Hinh thuc dao tqo: Chinh quy, tai chuc, chuyen tu, boi dudng, .... (3) Van bting (tdt nghiep cao ddng trd len): fiin sy, Thgc sy, Cu nhan, Ky su,... (4)Chung chi: Chung chi chuyen mon lien quan den cong nghe thong tin. Phu luc so 03. Bao cao thiet ke he thong giao dich chung khoan true tuyen (Ban hanh kern theo Thong tu so 134/2017/TT-BTC ngay 19 thdng 12ndm2017 cua Bo truang Bo Tai chinh hu&ng ddn giao dich dien tu tren thi truang chung khoan) CONG HOA XA HQI CHU NGHIA VIET NAM Doc lap - Tur do - Hanh phtic ..., ngay... thdng... ndm... BAO CAO THIET KE HE TH6NG GIAO DICH CHlTNG KHOAN TRlTC TUYEN Kinh gui: Uy ban Chung khoan Nha nuoc Chung toi thay mat cac co dong sang lap (hoac cac thanh vien sang lap, chu so huu cong ty) bao cao thiet ke he thong giao dich chung khoan true tuyen (GDTT) cho [Ten Cong ty ^{/nhu sau: 1. Tong quan he thong giao dich chung khoan true tuyen (GDTT) LL Mo td sa hrac quy trlnh hoqt dong cua he thong GDTT cua [Cong ty ] 1.2. Cac quy trlnh giao dich chung khoan true tuyen tai cong ty - Mo ta quy trlnh giao dich chung khoan qua Internet; - Mo ta quy trlnh giao dich chung khoan qua dien thoai; - Mo ta quy trlnh giao dich chung khoan true tuyen qua cac phuong thuc khac. (Dinh hem ede quy trinh thuc hien dich vu giao dich chung khoan true tuyen da ban hanh cua Cong ty). 1.3. Dia diem dot he thong GDTT: 2. Giai phap xay dung ca sfr ha tang he thong GDTT 2.1 Giai phap xdy dung he thong / f - Kien true he thdng mang: f i ** r + Kien true va mo hinh tong the he thdng mang cua cong ty; + Kidn true va md hinh he thdng mang GDTT kem theo cac thuyet minh chi tiet. - He thdng may chu: Cach bd tri, cau hinh he thdng may chu dam bao tinh bao mat, tinh du phong, sin sang cua he thdng GDTT. Nha cung cap So lirong Md ta chuc nang Ten may chu STT 1 2 > r r \ r - Duong truyen mang: Cach bo tri, cau hinh duong truyen, so luong duong truyen va dung luong duong truyen de duy tri su lien tuc cua he thong. Nha cung cap Ten du-drag truyen Mo ta chirc nang STT 1 2 - Thiet bi he thdng mang va he thong phu tro lien quan den he th6ng GDTT. Viec bo tri he thong va thiSt bi du phong. Cach thiet lap he thong de khac phuc cac tinh hu6ng su co xay ra va cac quy trinh xu ly lien quan. Nha cung cap Ten thiet bi So lirong Mo ta chuc nang STT 1 2 - He thong tong dai dien thoai: mo ta he thong tdng dai (ten he thong tong dai, ten may chu cai dat, ten phan mem giao dich qua dien thoai, ten duong truyen tong dai dien thoai), so luong, ten nha cung cap. Mo ta he thong tong dai dien thoai • • Mo ta chuc nang Nha cung cap Soluong STT 1 2 2,2 Giai phdp an ninh bdo mat cua he thong - Giai phap an ninh bao mat cho he thdng GDTT: + Thiet bj an ninh bao mat va mo ta each thuc to chuc he thong di dam bao an toan bao mat. + Mo ta he thong phan mem bao mat, cau hinh va giai phap bao mat co so du lieu. - Giai phap an ninh bao mat cho website giao dich true tuyen: Xac thuc website, ma hoa thong tin giao dich tren duong truyen, chong dot nhap, gia mao qua giao dien Web... - Quy dinh chinh sach ve an ninh bao mat: Cac chinh sach duoc thiet lap tren he thong; Chinh sach quy dinh trong noi bp c6ng ty va giua cong ty vdi khach hang; Giai phap kiim soat an ninh phong may chu; Danh gia rui ro an toan thong tin mang cua he thong GDTT. f - Giai phap xac thuc trong giao dich chung khoan true tuyen: 3 + Mo ta cac giai phap xac thirc lenh doi vai m§i phuang thuc dat lenh (Internet, dien thoai,...) do cong ty su dung. f r + Giai phap xac thuc su dung chung thu so: Ten nha cung cap chung thu so, so luong chung thu so duoc cung cap va su dung, noi dung ap dung chung thu s6. + Xac thuc hai yeu t6: Ten giM phap (SMS, Matrix, OTP,..), nha cung cap giai phap; + Giai phap xac thuc khac (nlu co): 3. Giai phap xay dung phan mem GDTT > r \ \ \ r r \ \ - Thong tin ve nha cung cap phan mem, ten day du va ten viet tat cua phan mem. - Cong nghe phat trien, nhn tang co so du lieu, he dieu hanh dugc lua chon. > > - Cac chuc nang chinh cua phan mem. - Cac giai phap bao mat cua phan mem: Bao gom quan tri he thdng, phan quyen, viec kiem soat vao ra he thong, kha nang cho phep tich hop cac giai phap an ninh bao mat cua cac hang khac. (Dinh kem bao cdo hoac bien ban dank gid he thong phan mem GDTT). 4. Ke hoach du phong, kiem soat rui ro he thong \ r r r - Giai phap du phong du lieu: Bao gom each bo tri, thiet lap cau hinh; cac giai phap luu tru, sao luu du lieu va quy trinh khoi phuc du lieu. - Giai phap thiet ke du phong cho he thong GDTT: Phuang an, each thiet lap, cau hinh he thong du phong (bao gom: Du phong cho he thdng may chu; Du phong he thdng mang, dudng truyen; Du phong he thdng tong dai dien thoai; Du phong he thong giao dich; Du phong ve nhan sir quan ly he thdng GDTT). - Giai phap he thdng dien du phong: He thdng UPS, He thdng may phat dien du phong. Cach td chuc, bd tri thiet lap khi co cac tinh huong xau xay ra. - Giai phap he thdng chdng set (chdng set lan truyen, chdng set phong may chu,..), he thdng lam mat, he thdng kiim soat an ninh phong may chu, he thdng phong chay chua chay,.. - Kd hoach bao tri, bao duang dinh ky he thdng GDTT. Chung tdi cam ket chiu trach nhiem hoan toan ve tinh chinh xac, trung thuc nhung noi dung tren. Ngirdi dai dien theo phap luat {Ky, dong ddu, ghi ro ho ten) Ghi chu: (1) Cong ty: Cong ty chung khodn doi vai trudng hap Id Bao cdo cua Cong ty chung khodn; Cong ty Quan ly quy doi vai trudng hpp Id Bao cdo cua Cong ty Quan ly quy; Dai ly phan phoi chung chi quy doi vai trudng hap Id Bao cdo cua Dai ly phan phoi chung chi quy. Phu luc so 04. Bao cao boat dong giao dich chung khoan true tuyen nam cua cong ty chimg khoan/cong ty quan ly quy/dai ly phan phoi chung chi quy (Banhanh kem theo Thongtusd 134/2017/TT-BTC ngay 19thdng 12 ndm2017 cua Bo truong Bo Tai chinh huang dan giao dich dien tie tren thi tneong chung khoan) CONG TY C0NG HOA XA H0ICHU NGHIA VIET NAM Doc lap - Ty do - Hanh phuc So: /BCGDTT ...., ngay... thdng... ndm... BAO CAO HOAX DONG GIAO DICH CHUNG KHOAN TRlTC TUYEN NAM... (Tinh tie thai diem ngay 01/01 den hit ngay 31/12 cua ndm bao cao) Kinh gui: Uy ban Chung khoan Nha nuac 1. Phwmg thiic giao dich chung khoan true tuyen cung cap cho khach hang: 1.1. Giao dich qua internet 1.2. Giao dich qua dien thoai Q 1.3. Phuong thuc khac (ghi cu the phuong thuc, neu co):.............................. 2. Giai phap xac thuc: - Chung thu so Q - Hai yeu to Q (The ma trdn, Token key. Smart OTP,...) - Xac thuc khac □ (Mo td ro phuong thiec xdc thuc) 3. Bao cao chi tiet tinh hinh giao d|ch chung khoan true tuyen trong nam Tong so luong tai khoan:........................... , Tong so tai khoan dang ky giao dich chung khoan true tuyen :.... 3.1. Cdc phuong thuc giao dich duoc dp dung trong giao dich chung khoan true tuyen □ Tong so tai khoan giao dich thuc te Tong so Ifnh giao dich Tbng Tong kh6i luong giao dich Tong gia tri giao dich Tong so tai khoan dang Phuong thuc giao dich so STT Ifnh ky khop Qua internet 1 2 Tong so lenh giao dich Tong gia tri giao dich Tong s6 tai khoan giao dich thnc te T6ng T6ng khoi liroTig giao d|ch Tong so tai kho&n dang Phnong thirc giao dich + so STT lenh khop Qua dien thoai 2 Phuong thuc giao dich khac (neu co) 3 TONG: 3.2. Cdc giaiphdp xdc thirc trong giao dich chirng khodn true tuyen Tong gia tri giao djeh Tong s6 lenh giao dich T6ng X T6ng khoi lirong giao d|ch Tong s6 tai khoan giao dich thuc te Tong so tai khoan dang ky Giai phap xac thuc so STT lenh khop Chung thu 1 s6 Xac thuc hai yeu to 2 Phuong thuc xac thuc khac (n§u co) 3 TONG: £ >S £ 4. Bao cao nhung thay doi he thong giao dich chtrng khoan true tuyen jr r 4.1. He thong, trang thiet bi Ten thiet bi So luong Chuc Nha cung nang cap Nang * (i) capv > Thay STT m<2) mol Mdy chu Thiet bi mang 3 Ten thiet bi« So lirgng STT Nang X (1) capv * Chnc nang Nha cung x cap Thay molM(2) He thong tong dai Thiet bi liru cben • » thong chong set He thong phu tro khac (neu co) 4.2. Diiang truyen Thay Ten throng truyen Nang cap^1^ Nha cung cap STT Chirc nang 1 2 4.3. He thong phan mem Thay moi Ten phan mem Nang cap ^ Nha cung c£p STT Chirc nang m(1) Phan mem giao dich chung khoan true tuyen 1 He dieu hanh 2 4 Thay Nang dip Nh^ cung cap Ten phan mem STT Chvc nang Ca s6 dH lieu 3 Phan mem kh&c (n4u c6) 4 4.4, Chung thw so Ten nha cung cap So IlTQHg Noi dung ^p dung STT 1 2 5. Bao cao ve doi ngu tin hgc van hanh he thong Van bang, chung chi Chuyen nganh dao tao, boi dirfing^ Ten c<y sd* dao Vi tri cong •A (5) VlfCk ' H9 \k ten STT van Chung chi*4 * tao bang*3 * 1 2 Ghi chu: (1) Ddnh ddu “X” niu cd ndng cdp hodc thay mai h$ thdng. (2) Chuyen nganh dao tao, boi duong lien quan den cong nghe thong tin bao gom: khoa hpc may tinh va thong tin, he dieu hanh, h$ thong mqng may tinh, truyen thong die lieu va an todn h$ thong, cong nghe thong tin vd ieng dung,... (3) Van bang (tot nghiep cao dang tro len): Tien sy, Thqc sy, Cu nhdn, Ky sit, ... (4) Chung chi: Chung chi chuyen mon lien quan den cong nghe thong tin. > > / ■ (5) Vi tri cong vi$c: quan tri phan mem, quan trf he thong, an ninh thong tin,... (Gui kem ban sao co xdc nhdn bang cap, chung chi chuyen mon cua nhdn vien moi) rm * \ ft Thong tin ve ngudi lap bao cao Ho va ten:..... Bia chi Email: Bien thoai di dong:.... . ......................... Ngiroi dai dien theo phap luat {Ky, dong ddu, ghi ro ho ten) Phu luc so 05. Bao cao he thong giao dich chirng khoan true tuyen nam cua GDCK (Banhanh kem theo Thongtuso 134/2017/TT-BTC ngay 19 thong 12 nam2017 cua Bo truong Bo Tai chinh hu&ng dan giao dich dim tu tren thi truang chung khoan) BO TAI CHINH SO GIAO DICH CHUNG KHOAN™ CONG HOAXAH0ICHUNGHIA VIET NAM Doc lap - Ty do - Hanh phuc S6: /SGDCK... , ngay....thdng........nam BAO CAO TINH HINH GIAO DICH CFTLTNG KHOAN TRU'C TUYEN NAM (Tinh tu thai diem ngay 01/01 den hit ngay 31/12 cua nam bao cao) • ••• Kinh gui: Uy ban Chung khoan Nha nuac 1. Cac van ban quy dinh lien quan den boat dong giao dich chirng khoan true tuyen do So* GDCK ban hanh So van ban STT Ten van ban Ngay ban hanh 1 2 Dinh kem cac quy trinh mai ban hanh trong nam bao cao (neu co). 2. Tinh hinh giao djeh chung khoan true tuyen trong nam Tong so luong chung khoan giao dich Tong gia tri giao djeh Tong so luung lenh giao dich Loai chung khoan Co phieu Trai phieu Chung chi quy Chung khoan phai sinh 3. Thanh vien ket noi Bieu 1: Thong he thank vien giao dich 2 So th&nh vien dirge chap thuan trong nam So th&nh vien dau ky So thanh vien bi huy bo tir each So th^nh vien cuoi ky Thi trirdug Niem yet Upcom Bieu 2: Hogt dgng chap thuan tu each thanh vien Ngay chap thuan Ten Th&nh vien Thj trirong Niem y4t Upcom Bieu 3: Hogt dong huy bo tu each thanh vien Ten Thanh viln Ngay huy bd Thj truremg Niem yet Upcom Bieu 4: Danh sdeh thanh vien hien tgi Ten Th&nh vien Ghi chii Thj tririrag Niem y6t Upcom 4. Bao cao he thong giao djeh chiing khoan true tuyen 4.1. He thong, trang thiet bi Ten thiet bj So lirgng NSng Thay Chirc Nha cung A cap STT nang cap May chu Thiet bj mamg He thong b&o mat Thiet bj liru dien 3 So lirgng Ten thiet bi Nang x (1) capw Thay moi Chirc nang Nha cung STT Md) X cap He thong chong set He thong phu tro* khac (neu co) 4.2. Dir&ng truyen Nha cung cap Ten du ’OTig truyen STT Chirc nang 1 2 4.3. He thong phan mem Nang cap Thay doi(1) Nha cung cap Ten phan mem STT Chirc nang Phan mem giao dich chung khoan true tuyen 1 He dieu hanh 2 Co sa du lieu 3 Cac pMn mem khac (ndu co) 5. Danh sach doi ngu nhan vien cong nghe thong tin Van bang, chung chi Ten co* so* dao tao Vitri cong .A (5) Vlfcv ; Chuyen nganh dao tao, boi dir&ng(2J Ho va ten STT Chihig chi^ Van bang(3J 1 4 Van b3ng, chung chi Chuyin ng&nh dao tao, boi diro,ng(21 Ten ccrsfif d^o tao Vj tri cong .A (5) VI$Cv ; H9 ten STT van Chung chi*4 * bang*3* 2 Ghi chu: ft f tt (1) Ddnh ddu “X” neu co ndng cap hoac thay doi he thong. (2) Chuyen ngdnh ddo tao, boi duong lien quan den cong nghe thong tin bao \ • \ f • * gom: khoa hoc may tinh vd thong tin, he dieu hdnh, he thong mqng may tinh, truyen thong die li$u vd an todn h$ thong, cong nghe thong tin vd ieng dung,... (3) Van bang (tot nghiip cao dang tr& len): Tien sy, Thqc sy, Cu nhdn, Kysu, ... (4) Chung chi: Chung chi chuyen mon lien quan den cong nghe thong tin. \ y w (5) Vi tri cong viec: quan triphdn mem, quan tri he thong, an ninh thong tin,... Thong tin cua ngu&i lap bdo cdo: Ho va ten:....................................... Bien thoai:..................................... Email: t6ng giamb6c (Ky ten, dong ddu, ghi rd h<? ten) Phu luc so 06. Bao cao tinh hinh giao dich chung khoan tnrc tuyen nam cua Trung tain lira ky chung khoan Viet Nam (Ban hanh kem theo Thong tie so 134/2017/TT-BTC ngay 19 thdng 12 nam 2017 cua Bo tneang Bo Tdi chink hu&ng ddn giao dich dim tie tren thi tneang chung khoan) BQ TAI CHINE TRUNG TAM LUXJ KY CHUNG KHOAN CONGHOAXAHOlCHUNGHlA VIET NAM Doc lap - Ty do - Hanh phuc S6: /TTLK , ngdy....thdng........nam BAO CAO TINH HINH GIAO DICH CHUNG KHOAN TRlTC TUYEN NAM (Tinh tie thai diem ngdy 01/01 den hit ngdy 31/12 cua nam hdo cdo) • ••• Kinh gui; Uy ban Chung khoan Nha nude 1. Cac van ban quy dinh lien quan den hoat dong giao dich chung khoan true tuyen do TTLK ban hanh So van ban Ten van ban STT Ngay ban hanh 1 2 Dinh kem ede quy trinh mai ban hanh trong nam bao cdo (neu co). 2. Tinh hinh cung cap dich vu giao dich chung khoan true tuyen 2.1. Tai khoan khach hang Tong so lupng Ifnh giao dich Tong so tai khoan khach h^ng dang ky Tong gia tri giao dich 2.2. Tinh hinh cung cap djeh vu giao dich chung khoan true tuyen cho thanh vien So lupng thanh vien dang ky S6 luong thanh vien su dung dich vu Ten dich vu STT 2 3. Quan ly thanh vien lint ky 3.1. Thanh vien Lieu ky Bieu 1: Thong ke thanh vien luu ky So thanh vi£n bi huy bo tu* each S6 thanh viln dau ky So thanh vien dirge chap thuan trong nam So thanh vien cuoi ky Bieu 2: Hoat dong chap thuan tu each thanh vien Ngay chap thuan Ten Thanh vien STT 9 * ? > Bieu 3: Hoat dong huy bo tu each thanh vien Ngay huy bo Ten Thanh vien STT Bieu 4: Danh sdeh thanh vien hien tai Ghi chu Ten Thanh vien STT 3.2. Thanh vien Bu trie Bieu 1: Thong ke thanh vien bit tru So th&nh vien bi huy bo tir each Sd thanh vien dirge chap thuan trong nam So thanh viSn cuoi ky So thanh vien dau ky 9 r t \ 1 Bieu 2: Hoat dong chap thuan tu each thanh vien Ngay chap thugn Ten Th&nh vien STT 9 Bieu 3: Hoat dong huy bo tu each thanh vien Ten Thanh vien Ngay huy bo STT 9 Bieu 4: Danh sdeh thanh vien hien tai Ten Thanh vien Ghi chu STT 4. Bao cao cac thay doi cua he thong 4.1. He thong, Met biphan cieng Ten thiet bi So lirgng Chirc nang NSng * (i) capUj Thay moi STT Nha cung cap «(i> 3 Ten thiet bi So lirong STT Nang Chtrc nang Nha cung A Thay m«(1> * (i) cap cap Mdy chu Thiet bi mang He thong t6ng dai Thiet bi liru dien He thong chong set H§ thong ph^ tro1 khac (neu co) 4.2. Duong truyen Ten dirbug truyin Nha cung cap STT Chuc nang 1 2 4.3. He thong phan mem Nang cap (1) Thay doia) Ten phim mem Nha cung cap Chuc nang STT Phan mem giao dich chumg khoan tnjc tuyen 1 * 4 Thay d6i(1) Nang cap (1) Nha cung cap Ten phan mem Chtrc nang STT He dieu hanh 2 3 Ca sd du lifu Cac phan mem khac (neu co) 4.4. Chirng thw so Ten nha cung cap So hrong Pham vi ap dung STT 1 2 5. Danh sach doi ngu nhan vien cong nghe thong tin Van b^ng, chirng chi Ten co* sfr dao Chuyen nganh dao tao, boi duong(2) Vi tri cong Ho va ten STT Van bSng^ Chung chi(4) tao viec 1 2 Ghi chu: (1) Ddnh ddu “X” neu co nang cdp/thay doi he thong. (2) Chuyen nganh dao tao, boi duong lien quan den cong nghe thong tin bao gom: khoa hoc may tinh vd thong tin, he dieu hdnh, he thong mqng may tinh, truyen thong du lieu vd an todn he thong, cong nghe thong tin vd ung dung,... (3) Van bdng (tot nghiep cao dang tr& len): TSKH, TS, Ths, Cu nhan, Ky su,... (4) Chung chi: Chung chi chuyen mon lien quan den cong ngh$ thong tin. (5) Vi tri cong viec: quan tri phan mem, quan tri he thong, an ninh thong tin,... (Gui kem ban sao co xdc nhan bdng cap, chirng chi chuyen mon cua nhan vien moi). Thong tin cua ngu&i lap bao cao: Ho va ten:....................................... Dientho^i:..................................... Email: TONG GIAM B6C (Ky ten, dong ddu, ghi ro ho ten) Phu luc so 07. Bao cao sir co giao dich chirng khoan true tuyen (Ban hank kem theo Thong tu so 134/2017/TT-BTC ngay 19 thong 12 nam 2017 cua Bp trucmgBo Tai chinh hudngddn giao dich dientutren thi trirong chung Miodn) CONG HOA XA HQl CHU NGHIA VIET NAM Doc lap - Tir do - Hanh phuc ...., ngay... thdng... ndm ... BAO CAO SIT CO GIAO DICH CHLrNG KHOAN TRlTC TUYEN Kinh gui: Uy ban Chung khoan Nha nuac Ten (T6 chuc kinh doanh chung khoan, So GDCK, Trung tam LKCK): Thong tin nguai phu trach GDTT: Ho va ten:..... Bia chi Email: Bien thoai: Bao cao su c6 giao dich chung khoan true tuyen nhu sau: 1. Thai gian, dia diem phat sinh su c6:................................................................ \ F F 2. Mo ta so bo ve su cd, tinh trang khi xay ra su co:........................................... r 3. Nguyen nhan su co:................................................................................... . ..... 4. Banh gia rui ro, anh huang doi vai thi trudng, khdeh hang, he thdng GDTT va cac he thong khac cd lien quan:...................................................................... 5. Tinh hinh thiet hai:........................................................................................... * r f 6. Cac bien phap da thuc hien de khac phuc su cd, ngan chan va phdng ngua rui ro:......................... . ........... F F F 1. Ket qua khac phuc su cd:.... 8. Kien nghi, de xudt (neu co): TONG GIAM DOC (Ky, dong ddu, ghi ro hp ten) Jk Jk Jk 7k Jk ' f F Phu luc so 0$. Bao cao nang cap, thay doi he thong giao djch chvng khoan trirc tuyen cua cong ty chthig khoan (Banhanh hem theo Thong tie so 134/2017/TT-BTC ngay 19 thong 12 nam2017 cua Bo trucmg Bo Tai chtnh hucmg ddn giao dich dien tit tren thi trudng chung khoan) CONG TY CHUNG KHOAN - CONGHOAXAHOICHUNGHIA VIETNAM Doc lap - Tir do - Hanh phuc S6: ...., ngay... thdng... ndm... /BCGDTT BAO CAO NANG CAP, THAY DOI HE THONG GIAO DICH CHUNG KHOAN TRlTC TUYEN Kinh gui: Uy ban Chung khoan Nha nuac 7 r r xin bao cao cac thay doi nang cap lien quan den he thong giao dich chung khoan true tuyen cua cong ty nhu sau: 1. H§ thong Core giao dich chihig khoan true tuyen (khi co nang cap, thay doi): Cong ty - Mo ta mo hinh he thdng Core kem thuyet minh chi tiet he thong; - Mo ta cac noi dung nang c£p, thay doi he thong Core chung khoan cua cong ty: bao g6m may chu, cac thiet bi mang, dudrng truyen, giai phap an ninh bao mat he thong, giai phap xay dung phan mem, giai phap du phong va kiem scat rui ro doi vdi he thdng. r •> - Thai gian van hanh chinh thuc sau khi thuc hien nang cap, thay doi. 2. Phwmg thuc giao dich chung khoan true tuyen (khi co nang cap, thay doi): - Ten phuang thuc giao dich; - Md ta quy trinh giao dich chung khoan true tuydn cua phuang thuc giao dich khi co thay ddi - Md ta giai phap xac thuc doi cua phuang thuc giao dich - Md ta nha cung cap giai phap. 1 3. Nhan su cong nghe thdng tin quan ly he thong (neu co thay ddi): 4. Dia diem dat he thong: ft t Q p - Md ta dia diem dat he thdng giao dich chung khoan true tuyen (khi co thay ddi). sr- 2 X X ^ 5. Noi dung nang cap, thay doi khac (neu co): Thong tin cua nguai lap bdo cdo: Ho va ten:............................... Dien thoai di dong:................ Email: TONG GIAM ©6c (Ky, dong ddu, ghi ro ho ten)