ࡱ> fheq` PdbjbjqPqP 4p::'\\\\\\\RRR8<[#j""""""""$$h-'N"E\"\\#@\\""!\\:" $hR"V"T+#0[#",{'{`{':"{'\:">N,z$""4[#nnp\\\\\\ B TI CHNH -------------- S: 43/2010/TT-BTCCNG HO X HI CH NGH(A VIT NAM c lp - T do - Hnh phc ------------------------------------- H Ni, ngy 25 thng 3 nm 2010 THNG T Sa i, b sung Quy ch ng k, lu k, b tr v thanh ton chng khon ban hnh km theo Quyt nh s 87/2007/Q-BTC ngy 22 thng 10 nm 2007 ca B trng B Ti chnh ------------------------ Cn c Lut Chng khon s 70/2006/QH11 c Quc Hi thng qua ngy 29/06/2006; Cn c Ngh nh s 14/2007/N-CP ngy 19/01/2007 ca Chnh ph quy nh chi tit thi hnh mt s iu ca Lut Chng khon; Cn c Ngh nh s 118/2008/N-CP ngy 27/11/2008 ca Chnh ph quy nh chc nng, nhim v, quyn hn v c cu t chc ca B Ti chnh; B Ti chnh hng dn sa i, b sung mt s im trong Quy ch ng k, lu k, b tr v thanh ton chng khon ban hnh km theo Quyt nh s 87/2007/Q-BTC ngy 22 thng 10 nm 2007 ca B trng B Ti chnh (sau y gi l Quyt nh s 87/2007/Q-BTC) nh sau: iu 1. Sa i tn Trung tm Lu k Chng khon (vit tt l TTLKCK) thnh Trung tm Lu k Chng khon Vit Nam (vit tt l VSD). iu 2. Sa i im d, b sung im e Khon 1 iu 7 Chng III Quyt nh s 87/2007/Q-BTC nh sau:  d. C quy trnh nghip v ng k, lu k, b tr v thanh ton chng khon p ng c yu cu ca VSD. e. H thng c kh nng kt ni vi cng giao tip in t ca VSD v phn mm qun l hot ng ng k, lu k, b tr v thanh ton chng khon p ng c yu cu ca VSD. iu 3. Sa i, b sung Khon 8 iu 12 Chng III Quyt nh s 87/2007/Q-BTC nh sau:  8. B UBCKNN rt nghip v mi gii chng khon hoc thu hi Giy chng nhn ng k hot ng lu k chng khon quy nh ti Khon 2 iu 51 ca Lut chng khon (i vi thnh vin lu k). iu 4. Sa i, b sung Khon 1 iu 18 Chng IV Quyt nh s 87/2007/Q-BTC nh sau:  1. Vic chuyn quyn s hu i vi chng khon nim yt/ng k giao dch c thc hin theo nguyn tc sau: a. Ngi s hu chng khon mun thc hin chuyn quyn s hu chng khon phi lu k chng khon vo VSD thng qua cc thnh vin lu k  giao dch mua bn chng khon qua SGDCK hoc chuyn quyn s hu theo quy nh ti Khon b iu ny (tr trng hp chuyn quyn s hu do tha k hoc do t chc pht hnh mua li c phiu ca cn b, nhn vin khi chm dt hp ng lao ng). b. VSD ch thc hin chuyn quyn s hu chng khon ngoi h thng giao dch chng khon i vi cc giao dch khng mang tnh cht mua bn hoc khng th thc hin c qua h thng giao dch ti SGDCK, trong cc trng hp sau: - Biu, tng, cho, tha k chng khon theo qui nh ca Lut dn s. - Giao dch chng khon l l theo qui nh ca php lut v chng khon v th trng chng khon. - T chc pht hnh/Cng on ca t chc pht hnh mua li c phiu u i ca cn b, cng nhn vin khi chm dt hp ng lao ng lm c phiu qu, c phiu thng cho cn b, nhn vin. - T chc pht hnh dng c phiu qu  thng/ Cng on ca t chc pht hnh phn phi c phiu thng cho cn b, nhn vin. - Giao dch ca c ng sng lp trong thi gian hn ch chuyn nhng. - T chc pht hnh thay i c ng chin lc trong thi gian hn ch chuyn nhng. - Cc trng hp giao dch i vi chng khon  ng k ti VSD v c SGDCK chp thun nguyn tc nhng cha c chp thun nim yt chnh thc. - Nh u t y thc chuyn quyn s hu chng khon ca mnh sang cng ty qun l qu trong trng hp cng ty qun l qu nhn qun l danh mc u t y thc bng ti sn. - Cng ty qun l qu chuyn quyn s hu chng khon c y thc sang nh u t y thc hoc cng ty qun l qu khc trong trng hp chm dt hp ng qun l danh mc u t hoc cng ty qun l qu gii th, ph sn, phi hon tr nh u t y thc ti sn hoc chuyn danh mc ti sn sang cng ty qun l qu khc qun l. - Cc trng hp chuyn quyn s hu theo quyt nh ca Ta n. - Chia tch, sp nhp, hp nht, gp vn bng c phiu thnh lp doanh nghip hoc phn nh li c ch qun l ti chnh ca doanh nghip theo quy nh ca Lut dn s, Lut doanh nghip v Lut chng khon. - Cc trng hp chuyn quyn s hu khng mang tnh cht giao dch mua bn khc phi c UBCKNN chp thun. iu 5. Sa i, b sung Khon 1 iu 21 Chng V Quyt nh s 87/2007/Q-BTC nh sau:  1. Vic lu k chng khon ca khch hng ti VSD c thc hin theo nguyn tc: khch hng lu k chng khon ti thnh vin lu k v thnh vin lu k ti lu k chng khon ca khch hng ti VSD. iu 6. Sa i, b sung Khon 3, 5 iu 24 Chng V Quyt nh s 87/2007/Q-BTC nh sau:  3. Tng s d trn cc ti khon lu k chng khon ca khch hng m ti thnh vin lu k phi lun khp vi s d cc ti khon lu k ca thnh vin lu k m ti VSD. S d chi tit trn ti khon lu k chng khon ca tng khch hng ti thnh vin lu k phi khp vi s liu s hu ca khch hng  ti VSD. 5. Khi pht hin sai st trong thng tin trong ti khon lu k chng khon ca thnh vin hoc khch hng ca thnh vin, VSD phi thng bo ngay cho thnh vin v thnh vin c trch nhim iu chnh cho ph hp. iu 7. B sung im f Khon 1 iu 26 Chng V Quyt nh s 87/2007/Q-BTC nh sau:  6`( * . t v z   ( * V "hP&p'))^))))))))*:,F,~,,,񸮸ޡ޸ށށށށށ޸޸hh7zB*mH!phsH! hh7z5B*mH!phsH!hh7zB*\phh7z5B*phhh7z5B*phh7z5B*\phhh7z6B*\phhh7zB*phh7zB*phhh7z5B*\ph28`* t v x z |  $a$gd7zOkd$$Ifl0@ #@ L#44 lal$$d,$@&Ifa$gd7z$d,$Ifa$gd7zdNd * ,  PB $0d,`0a$gd7z$d,`a$gd7z$vd,`va$gd7z$d,`a$gd7z $d,a$gd7z !!"T$&p'))*:,,p/ 11ABpCDE|GpHJJ$1d,`1a$gd7z$7d,`7a$gd7z$0d,`0a$gd7z,,, 111>ABpC|CCCCCD|GpHJKLMRRRrSSNTWX2\@\B\D\j\p\\\^^^_____xczccӷӷ⦷ӷӷƦƷƖ{h7zB*mHphsHhh7zB*mHphsHhh7z56B*]ph hh7z5B*mH*phsH*hh7zB*mH*phsH*hh7zB*phUhh7zB*mH!phsH! hh7z5B*mH!phsH!hh7z5B*ph0f. Thnh vin lu k c trch nhim cp nht hng ngy thng tin m, ng ti khon lu k ca nh u t thc hin trong ngy ti thnh vin lu k cho VSD v thc hin i chiu thng tin s d ti khon lu k ca tng khch hng vi s liu s hu chng khon ca khch hng ti VSD trn c s cc s liu v s hu chng khon ca khch hng m VSD cung cp cho thnh vin lu k. Trnh t, th tc thc hin cp nht thng tin ti khon v i chiu s d thc hin theo quy nh ca VSD. iu 8. Sa i Khon 3 iu 27 Chng V Quyt nh s 87/2007/Q-BTC nh sau:  3. UBCKNN hng dn c th v thi hn thc hin bn chng khon sau giao dch, sau khi c B Ti chnh chp thun. iu 9. B sung Khon 3,4 iu 28 Chng V Quyt nh s 87/2007/Q-BTC nh sau:  3. VSD thc hin yu cu k gi chng khon cho nh u t ng thi vi ng k chng khon khi c yu cu t T chc pht hnh ng ra i din cho cc c ng. VSD quy nh h s, th tc k gi chng khon i vi trng hp ny. 4. Trng hp T chc pht hnh qun l chng khon bng hnh thc ghi s trn ti khon v khng pht hnh t chng ch, vic k gi chng khon ca nh u t c thc hin theo hng dn ca VSD. iu 10. Hu b im a,f,g,h v sa i, b sung im i, k Khon 1 iu 30 Chng V Quyt nh s 87/2007/Q-BTC nh sau:  i. Khi thnh vin lu k ni khch hng ang m ti khon b hu b t cch thnh vin, thu hi Giy chng nhn hot ng lu k, rt nghip v mi gii chng khon hoc b VSD hu t cch thnh vin lu k. k. Cc trng hp chuyn quyn s hu theo quy nh ti im b Khon 1 iu 4 Thng t ny. iu 11. Hy b Khon 4 v sa i, b sung Khon 3 iu 32 Chng VI Quyt nh s 87/2007/Q-BTC nh sau:  3. i vi giao dch mua, bn chng khon nim yt/chng khon ng k giao dch, VSD thc hin thanh ton cn c vo kt qu giao dch do SGDCK cung cp. iu 12. Sa i, b sung Khon 1, 2 iu 40 Chng VI Quyt nh s 87/2007/Q-BTC nh sau:  1. VSD c quyn hy thanh ton giao dch trong cc trng hp sau: - Thnh vin mt kh nng thanh ton giao dch sau khi  p dng cc bin php theo quy nh m khng th khc phc c. - Thnh vin/khch hng thnh vin bn khng chng khon khi cha c hng dn ca B Ti chnh. - Thng tin v ti khon giao dch ca khch hng c lin quan khng c cp nht theo quy nh ca VSD ti thi im thc hin thanh ton giao dch chng khon. 2. Thnh vin lu k c giao dch b hy thanh ton phi chu hon ton trch nhim i vi cc tn tht pht sinh cho khch hng v thnh vin c lin quan do giao dch khng c thanh ton. Mc bi thng do cc bn t tha thun nhng khng vt qu mi phn trm (10%) gi tr ca giao dch b hy thanh ton. iu 13. Sa i, b sung Khon 2 iu 41 Chng VI Quyt nh s 87/2007/Q-BTC nh sau:  2. i vi giao dch ca cng ty i chng cha nim yt, khi pht hin ti khon ca thnh vin khng  tin, ti khon ca thnh vin/khch hng ca thnh vin thiu chng khon  thanh ton, hoc thng tin v ti khon giao dch ca khch hng c lin quan khng c cp nht theo quy nh ca VSD ti thi im thc hin thanh ton giao dch chng khon,VSD x l cc giao dch  theo quy nh ti Quy ch hng dn nghip v ca VSD. iu 14. Sa i Khon 2, b sung Khon 7, 8 iu 42 Chng VII Quyt nh s 87/2007/Q-BTC nh sau:  2. C vn iu l thc gp trn 5.000 t ng. 7. C t nht 10 thnh vin ca VSD cam kt ng k m ti khon thanh ton giao dch chng khon sau khi c chp thun lm Ngn hng thanh ton v khng c t chi khi thnh vin ca VSD  ngh s dng dch v Ngn hng thanh ton. 8. H thng c kh nng lu gi s liu thng tin thanh ton giao dch trong vng t nht 01 nm v c th cung cp ngay cho UBCKNN hoc VSD trong vng 01 ngy khi c yu cu. iu 15. Hiu lc thi hnh: 1. Thng t ny c hiu lc thi hnh sau 45 ngy k t ngy k. Trng hp cc thnh vin lu k ca VSD cha p ng c cc iu kin quy nh ti iu 2 Thng t ny th phi hon tt vic nng cp h thng v sa i quy trnh nghip v chm nht l 3 thng k t ngy Thng t ny c hiu lc thi hnh. 2. Trong qu trnh thc hin nu c vng mc,  ngh cc n v phn nh kp thi v B Ti chnh  nghin cu gii quyt./. Ni nhn: Vn phng Chnh ph; Vn phng Trung ng v cc Ban ca ng; Vn phng Quc hi; Vn phng Ch tch nc; Cc B, c quan ngang B, c quan thuc Chnh ph; HND, UBND cc tnh, thnh ph trc thuc Trung ng; Vn phng BC phng chng tham nhing TW; Vin Kim st NDTC, To n NDTC; Kim ton Nh nc; C quan Trung ng ca cc on th; Cng bo; Website Chnh ph; Cc kim tra vn bn - B T php; Cc n v thuc B Ti chnh; Website BTC; Lu: VT, UBCKNN.KT. 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