{"id":26410,"date":"2025-03-26T16:38:51","date_gmt":"2025-03-26T09:38:51","guid":{"rendered":"https:\/\/infina.vn\/blog\/?p=26410"},"modified":"2025-03-26T16:38:51","modified_gmt":"2025-03-26T09:38:51","slug":"quy-dinh-phap-ly-ve-hoi-dong-quan-tri-quy-dau-tu-tc","status":"publish","type":"post","link":"https:\/\/infina.vn\/blog\/quy-dinh-phap-ly-ve-hoi-dong-quan-tri-quy-dau-tu-tc\/","title":{"rendered":"Quy \u0111\u1ecbnh ph\u00e1p l\u00fd v\u1ec1 H\u1ed9i \u0111\u1ed3ng Qu\u1ea3n tr\u1ecb Qu\u1ef9 \u0110\u1ea7u t\u01b0"},"content":{"rendered":"\n\n<div class=\"kk-star-ratings kksr-auto kksr-align-right kksr-valign-top\"\n    data-payload='{&quot;align&quot;:&quot;right&quot;,&quot;id&quot;:&quot;26410&quot;,&quot;slug&quot;:&quot;default&quot;,&quot;valign&quot;:&quot;top&quot;,&quot;ignore&quot;:&quot;&quot;,&quot;reference&quot;:&quot;auto&quot;,&quot;class&quot;:&quot;&quot;,&quot;count&quot;:&quot;0&quot;,&quot;legendonly&quot;:&quot;&quot;,&quot;readonly&quot;:&quot;&quot;,&quot;score&quot;:&quot;0&quot;,&quot;starsonly&quot;:&quot;&quot;,&quot;best&quot;:&quot;5&quot;,&quot;gap&quot;:&quot;2&quot;,&quot;greet&quot;:&quot;\u0110\u00e1nh gi\u00e1 t\u1ea1i \u0111\u00e2y&quot;,&quot;legend&quot;:&quot;0\\\/5 - (0 votes)&quot;,&quot;size&quot;:&quot;24&quot;,&quot;title&quot;:&quot;Quy \u0111\u1ecbnh ph\u00e1p l\u00fd v\u1ec1 H\u1ed9i \u0111\u1ed3ng Qu\u1ea3n tr\u1ecb Qu\u1ef9 \u0110\u1ea7u t\u01b0&quot;,&quot;width&quot;:&quot;0&quot;,&quot;_legend&quot;:&quot;{score}\\\/{best} - ({count} {votes})&quot;,&quot;font_factor&quot;:&quot;1.25&quot;}'>\n            \n<div class=\"kksr-stars\">\n    \n<div class=\"kksr-stars-inactive\">\n            <div class=\"kksr-star\" data-star=\"1\" style=\"padding-right: 2px\">\n            \n\n<div class=\"kksr-icon\" style=\"width: 24px; height: 24px;\"><\/div>\n        <\/div>\n            <div class=\"kksr-star\" data-star=\"2\" style=\"padding-right: 2px\">\n            \n\n<div class=\"kksr-icon\" style=\"width: 24px; height: 24px;\"><\/div>\n        <\/div>\n            <div class=\"kksr-star\" data-star=\"3\" style=\"padding-right: 2px\">\n            \n\n<div class=\"kksr-icon\" style=\"width: 24px; height: 24px;\"><\/div>\n        <\/div>\n            <div class=\"kksr-star\" data-star=\"4\" style=\"padding-right: 2px\">\n            \n\n<div class=\"kksr-icon\" style=\"width: 24px; height: 24px;\"><\/div>\n        <\/div>\n            <div class=\"kksr-star\" data-star=\"5\" style=\"padding-right: 2px\">\n            \n\n<div class=\"kksr-icon\" style=\"width: 24px; height: 24px;\"><\/div>\n        <\/div>\n    <\/div>\n    \n<div class=\"kksr-stars-active\" style=\"width: 0px;\">\n            <div class=\"kksr-star\" style=\"padding-right: 2px\">\n            \n\n<div class=\"kksr-icon\" style=\"width: 24px; height: 24px;\"><\/div>\n        <\/div>\n            <div class=\"kksr-star\" style=\"padding-right: 2px\">\n            \n\n<div class=\"kksr-icon\" style=\"width: 24px; height: 24px;\"><\/div>\n        <\/div>\n            <div class=\"kksr-star\" style=\"padding-right: 2px\">\n            \n\n<div class=\"kksr-icon\" style=\"width: 24px; height: 24px;\"><\/div>\n        <\/div>\n            <div class=\"kksr-star\" style=\"padding-right: 2px\">\n            \n\n<div class=\"kksr-icon\" style=\"width: 24px; height: 24px;\"><\/div>\n        <\/div>\n            <div class=\"kksr-star\" style=\"padding-right: 2px\">\n            \n\n<div class=\"kksr-icon\" style=\"width: 24px; height: 24px;\"><\/div>\n        <\/div>\n    <\/div>\n<\/div>\n                \n\n<div class=\"kksr-legend\" style=\"font-size: 19.2px;\">\n            <span class=\"kksr-muted\">\u0110\u00e1nh gi\u00e1 t\u1ea1i \u0111\u00e2y<\/span>\n    <\/div>\n    <\/div>\n<p>H\u1ed9i \u0111\u1ed3ng Qu\u1ea3n tr\u1ecb (H\u0110QT) l\u00e0 c\u01a1 quan quan tr\u1ecdng ch\u1ecbu tr\u00e1ch nhi\u1ec7m gi\u00e1m s\u00e1t v\u00e0 quy\u1ebft \u0111\u1ecbnh chi\u1ebfn l\u01b0\u1ee3c ho\u1ea1t \u0111\u1ed9ng c\u1ee7a qu\u1ef9 \u0111\u1ea7u t\u01b0. D\u1ef1a tr\u00ean Lu\u1eadt Ch\u1ee9ng kho\u00e1n 2019 v\u00e0 Ngh\u1ecb \u0111\u1ecbnh 155\/2020\/N\u0110-CP, c\u00e1c quy \u0111\u1ecbnh ch\u00ednh bao g\u1ed3m:<\/p>\n<ul>\n<li><strong>Th\u00e0nh ph\u1ea7n v\u00e0 c\u01a1 c\u1ea5u<\/strong>: T\u1eeb 3 \u0111\u1ebfn 11 th\u00e0nh vi\u00ean, trong \u0111\u00f3 \u00edt nh\u1ea5t 1\/3 l\u00e0 th\u00e0nh vi\u00ean \u0111\u1ed9c l\u1eadp.<\/li>\n<li><strong>Ti\u00eau chu\u1ea9n th\u00e0nh vi\u00ean<\/strong>: C\u00f3 n\u0103ng l\u1ef1c h\u00e0nh vi d\u00e2n s\u1ef1, kinh nghi\u1ec7m t\u00e0i ch\u00ednh, kh\u00f4ng vi ph\u1ea1m ph\u00e1p lu\u1eadt kinh t\u1ebf.<\/li>\n<li><strong>Quy\u1ec1n h\u1ea1n v\u00e0 tr\u00e1ch nhi\u1ec7m<\/strong>:\n<ul>\n<li>Gi\u00e1m s\u00e1t ho\u1ea1t \u0111\u1ed9ng qu\u1ef9, \u0111\u1ea3m b\u1ea3o tu\u00e2n th\u1ee7 ph\u00e1p lu\u1eadt.<\/li>\n<li>Quy\u1ebft \u0111\u1ecbnh c\u00e1c chi\u1ebfn l\u01b0\u1ee3c v\u00e0 kho\u1ea3n \u0111\u1ea7u t\u01b0 l\u1edbn.<\/li>\n<li>B\u00e1o c\u00e1o \u0111\u1ecbnh k\u1ef3 v\u00e0 \u0111\u1ed9t xu\u1ea5t \u0111\u1ebfn \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc (UBCKNN).<\/li>\n<\/ul>\n<\/li>\n<li><strong>H\u1ecdp v\u00e0 bi\u1ec3u quy\u1ebft<\/strong>:\n<ul>\n<li>H\u1ecdp \u0111\u1ecbnh k\u1ef3 h\u00e0ng qu\u00fd ho\u1eb7c b\u1ea5t th\u01b0\u1eddng khi c\u1ea7n thi\u1ebft.<\/li>\n<li>Quy\u1ebft \u0111\u1ecbnh th\u00f4ng qua d\u1ef1a tr\u00ean t\u1ef7 l\u1ec7 bi\u1ec3u quy\u1ebft (t\u1eeb h\u01a1n 50% \u0111\u1ebfn 100% t\u00f9y m\u1ee9c \u0111\u1ed9 quan tr\u1ecdng).<\/li>\n<\/ul>\n<\/li>\n<li><strong>Tu\u00e2n th\u1ee7 ph\u00e1p l\u00fd<\/strong>:\n<ul>\n<li>Th\u00e0nh vi\u00ean ph\u1ea3i h\u00e0nh \u0111\u1ed9ng trung th\u1ef1c, b\u1ea3o m\u1eadt th\u00f4ng tin.<\/li>\n<li>Vi ph\u1ea1m c\u00f3 th\u1ec3 b\u1ecb ph\u1ea1t ti\u1ec1n, \u0111\u00ecnh ch\u1ec9 ho\u1eb7c c\u1ea5m \u0111\u1ea3m nhi\u1ec7m ch\u1ee9c v\u1ee5.<\/li>\n<\/ul>\n<\/li>\n<\/ul>\n<p>H\u1ec7 th\u1ed1ng gi\u00e1m s\u00e1t bao g\u1ed3m UBCKNN, ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t, v\u00e0 ki\u1ec3m to\u00e1n \u0111\u1ed9c l\u1eadp, \u0111\u1ea3m b\u1ea3o ho\u1ea1t \u0111\u1ed9ng minh b\u1ea1ch v\u00e0 \u0111\u00fang quy \u0111\u1ecbnh.<\/p>\n<div id=\"ez-toc-container\" class=\"ez-toc-v2_0_73 ez-toc-wrap-center counter-hierarchy ez-toc-counter ez-toc-custom ez-toc-container-direction\">\n<div class=\"ez-toc-title-container\">\n<p class=\"ez-toc-title\" style=\"cursor:inherit\">N\u1ed9i dung ch\u00ednh<\/p>\n<span class=\"ez-toc-title-toggle\"><a href=\"#\" class=\"ez-toc-pull-right ez-toc-btn ez-toc-btn-xs ez-toc-btn-default ez-toc-toggle\" aria-label=\"Toggle Table of Content\"><span class=\"ez-toc-js-icon-con\"><span class=\"\"><span class=\"eztoc-hide\" style=\"display:none;\">Toggle<\/span><span class=\"ez-toc-icon-toggle-span\"><svg style=\"fill: #999;color:#999\" xmlns=\"http:\/\/www.w3.org\/2000\/svg\" class=\"list-377408\" width=\"20px\" height=\"20px\" viewBox=\"0 0 24 24\" fill=\"none\"><path d=\"M6 6H4v2h2V6zm14 0H8v2h12V6zM4 11h2v2H4v-2zm16 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v\u1ec1 Th\u00e0nh ph\u1ea7n H\u1ed9i \u0111\u1ed3ng Qu\u1ea3n tr\u1ecb<\/a><ul class='ez-toc-list-level-3' ><li class='ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-2\" href=\"https:\/\/infina.vn\/blog\/quy-dinh-phap-ly-ve-hoi-dong-quan-tri-quy-dau-tu-tc\/#Quy_dinh_ve_So_luong_Thanh_vien\" title=\"Quy \u0111\u1ecbnh v\u1ec1 S\u1ed1 l\u01b0\u1ee3ng Th\u00e0nh vi\u00ean\">Quy \u0111\u1ecbnh v\u1ec1 S\u1ed1 l\u01b0\u1ee3ng Th\u00e0nh vi\u00ean<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-3\" href=\"https:\/\/infina.vn\/blog\/quy-dinh-phap-ly-ve-hoi-dong-quan-tri-quy-dau-tu-tc\/#Tieu_chuan_Thanh_vien\" title=\"Ti\u00eau chu\u1ea9n Th\u00e0nh vi\u00ean\">Ti\u00eau chu\u1ea9n Th\u00e0nh vi\u00ean<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-4\" href=\"https:\/\/infina.vn\/blog\/quy-dinh-phap-ly-ve-hoi-dong-quan-tri-quy-dau-tu-tc\/#Quy_dinh_ve_Thanh_vien_Doc_lap\" title=\"Quy \u0111\u1ecbnh v\u1ec1 Th\u00e0nh vi\u00ean \u0110\u1ed9c l\u1eadp\">Quy \u0111\u1ecbnh v\u1ec1 Th\u00e0nh vi\u00ean \u0110\u1ed9c l\u1eadp<\/a><\/li><\/ul><\/li><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-5\" href=\"https:\/\/infina.vn\/blog\/quy-dinh-phap-ly-ve-hoi-dong-quan-tri-quy-dau-tu-tc\/#Quyen_han_va_Trach_nhiem_cua_Hoi_dong_Quan_tri\" title=\"Quy\u1ec1n h\u1ea1n v\u00e0 Tr\u00e1ch nhi\u1ec7m c\u1ee7a H\u1ed9i \u0111\u1ed3ng Qu\u1ea3n tr\u1ecb\">Quy\u1ec1n h\u1ea1n v\u00e0 Tr\u00e1ch nhi\u1ec7m c\u1ee7a H\u1ed9i \u0111\u1ed3ng Qu\u1ea3n tr\u1ecb<\/a><ul class='ez-toc-list-level-3' ><li class='ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-6\" href=\"https:\/\/infina.vn\/blog\/quy-dinh-phap-ly-ve-hoi-dong-quan-tri-quy-dau-tu-tc\/#Giam_sat_Quy\" title=\"Gi\u00e1m s\u00e1t Qu\u1ef9\">Gi\u00e1m s\u00e1t Qu\u1ef9<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-7\" href=\"https:\/\/infina.vn\/blog\/quy-dinh-phap-ly-ve-hoi-dong-quan-tri-quy-dau-tu-tc\/#Quyet_dinh_Dau_tu\" title=\"Quy\u1ebft \u0111\u1ecbnh \u0110\u1ea7u t\u01b0\">Quy\u1ebft \u0111\u1ecbnh \u0110\u1ea7u t\u01b0<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-8\" href=\"https:\/\/infina.vn\/blog\/quy-dinh-phap-ly-ve-hoi-dong-quan-tri-quy-dau-tu-tc\/#Yeu_cau_Bao_cao\" title=\"Y\u00eau c\u1ea7u B\u00e1o c\u00e1o\">Y\u00eau c\u1ea7u B\u00e1o c\u00e1o<\/a><\/li><\/ul><\/li><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-9\" href=\"https:\/\/infina.vn\/blog\/quy-dinh-phap-ly-ve-hoi-dong-quan-tri-quy-dau-tu-tc\/#Quy_dinh_ve_Cuoc_hop_Hoi_dong_Quan_tri\" title=\"Quy \u0111\u1ecbnh v\u1ec1 Cu\u1ed9c h\u1ecdp H\u1ed9i \u0111\u1ed3ng Qu\u1ea3n tr\u1ecb\">Quy \u0111\u1ecbnh v\u1ec1 Cu\u1ed9c h\u1ecdp H\u1ed9i \u0111\u1ed3ng Qu\u1ea3n tr\u1ecb<\/a><ul class='ez-toc-list-level-3' ><li class='ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-10\" href=\"https:\/\/infina.vn\/blog\/quy-dinh-phap-ly-ve-hoi-dong-quan-tri-quy-dau-tu-tc\/#Lich_hop\" title=\"L\u1ecbch h\u1ecdp\">L\u1ecbch h\u1ecdp<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-11\" href=\"https:\/\/infina.vn\/blog\/quy-dinh-phap-ly-ve-hoi-dong-quan-tri-quy-dau-tu-tc\/#Quy_dinh_Bieu_quyet\" title=\"Quy \u0111\u1ecbnh Bi\u1ec3u quy\u1ebft\">Quy \u0111\u1ecbnh Bi\u1ec3u quy\u1ebft<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-12\" href=\"https:\/\/infina.vn\/blog\/quy-dinh-phap-ly-ve-hoi-dong-quan-tri-quy-dau-tu-tc\/#Quy_dinh_ve_Luu_tru_Ho_so\" title=\"Quy \u0111\u1ecbnh v\u1ec1 L\u01b0u tr\u1eef H\u1ed3 s\u01a1\">Quy \u0111\u1ecbnh v\u1ec1 L\u01b0u tr\u1eef H\u1ed3 s\u01a1<\/a><\/li><\/ul><\/li><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-13\" href=\"https:\/\/infina.vn\/blog\/quy-dinh-phap-ly-ve-hoi-dong-quan-tri-quy-dau-tu-tc\/#Tuan_thu_Phap_ly\" title=\"Tu\u00e2n th\u1ee7 Ph\u00e1p l\u00fd\">Tu\u00e2n th\u1ee7 Ph\u00e1p l\u00fd<\/a><ul class='ez-toc-list-level-3' ><li class='ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-14\" href=\"https:\/\/infina.vn\/blog\/quy-dinh-phap-ly-ve-hoi-dong-quan-tri-quy-dau-tu-tc\/#Trach_nhiem_Phap_ly_cua_Thanh_vien\" title=\"Tr\u00e1ch nhi\u1ec7m Ph\u00e1p l\u00fd c\u1ee7a Th\u00e0nh vi\u00ean\">Tr\u00e1ch nhi\u1ec7m Ph\u00e1p l\u00fd c\u1ee7a Th\u00e0nh vi\u00ean<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-15\" href=\"https:\/\/infina.vn\/blog\/quy-dinh-phap-ly-ve-hoi-dong-quan-tri-quy-dau-tu-tc\/#Hau_qua_Vi_pham\" title=\"H\u1eadu qu\u1ea3 Vi ph\u1ea1m\">H\u1eadu qu\u1ea3 Vi ph\u1ea1m<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-16\" href=\"https:\/\/infina.vn\/blog\/quy-dinh-phap-ly-ve-hoi-dong-quan-tri-quy-dau-tu-tc\/#Giam_sat_Tuan_thu\" title=\"Gi\u00e1m s\u00e1t Tu\u00e2n th\u1ee7\">Gi\u00e1m s\u00e1t Tu\u00e2n th\u1ee7<\/a><\/li><\/ul><\/li><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-17\" href=\"https:\/\/infina.vn\/blog\/quy-dinh-phap-ly-ve-hoi-dong-quan-tri-quy-dau-tu-tc\/#Ket_luan\" title=\"K\u1ebft lu\u1eadn\">K\u1ebft lu\u1eadn<\/a><\/li><\/ul><\/nav><\/div>\n<h2><span class=\"ez-toc-section\" id=\"Yeu_cau_ve_Thanh_phan_Hoi_dong_Quan_tri\"><\/span>Y\u00eau c\u1ea7u v\u1ec1 Th\u00e0nh ph\u1ea7n H\u1ed9i \u0111\u1ed3ng Qu\u1ea3n tr\u1ecb<span class=\"ez-toc-section-end\"><\/span><\/h2>\n<h3><span class=\"ez-toc-section\" id=\"Quy_dinh_ve_So_luong_Thanh_vien\"><\/span>Quy \u0111\u1ecbnh v\u1ec1 S\u1ed1 l\u01b0\u1ee3ng Th\u00e0nh vi\u00ean<span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p>Theo Ngh\u1ecb \u0111\u1ecbnh 155\/2020\/N\u0110-CP, H\u1ed9i \u0111\u1ed3ng Qu\u1ea3n tr\u1ecb (H\u0110QT) c\u1ee7a qu\u1ef9 \u0111\u1ea7u t\u01b0 ph\u1ea3i bao g\u1ed3m t\u1eeb 3 \u0111\u1ebfn 11 th\u00e0nh vi\u00ean, s\u1ed1 l\u01b0\u1ee3ng c\u1ee5 th\u1ec3 s\u1ebd \u0111\u01b0\u1ee3c quy \u0111\u1ecbnh trong \u0110i\u1ec1u l\u1ec7 qu\u1ef9.<\/p>\n<p>C\u01a1 c\u1ea5u th\u00e0nh vi\u00ean c\u1ea7n \u0111\u1ea3m b\u1ea3o s\u1ef1 c\u00e2n \u0111\u1ed1i gi\u1eefa th\u00e0nh vi\u00ean \u0111i\u1ec1u h\u00e0nh v\u00e0 kh\u00f4ng \u0111i\u1ec1u h\u00e0nh. Trong \u0111\u00f3, \u00edt nh\u1ea5t <strong>m\u1ed9t ph\u1ea7n ba (1\/3)<\/strong> t\u1ed5ng s\u1ed1 th\u00e0nh vi\u00ean ph\u1ea3i l\u00e0 th\u00e0nh vi\u00ean \u0111\u1ed9c l\u1eadp. C\u00e1c ti\u00eau chu\u1ea9n c\u1ee5 th\u1ec3 cho th\u00e0nh vi\u00ean s\u1ebd \u0111\u01b0\u1ee3c n\u00eau chi ti\u1ebft d\u01b0\u1edbi \u0111\u00e2y.<\/p>\n<h3><span class=\"ez-toc-section\" id=\"Tieu_chuan_Thanh_vien\"><\/span>Ti\u00eau chu\u1ea9n Th\u00e0nh vi\u00ean<span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p>Th\u00e0nh vi\u00ean H\u0110QT c\u1ea7n \u0111\u00e1p \u1ee9ng c\u00e1c \u0111i\u1ec1u ki\u1ec7n sau:<\/p>\n<ul>\n<li>C\u00f3 \u0111\u1ea7y \u0111\u1ee7 n\u0103ng l\u1ef1c h\u00e0nh vi d\u00e2n s\u1ef1 v\u00e0 kh\u00f4ng thu\u1ed9c nh\u00f3m b\u1ecb c\u1ea5m th\u00e0nh l\u1eadp ho\u1eb7c qu\u1ea3n l\u00fd doanh nghi\u1ec7p.<\/li>\n<li>C\u00f3 chuy\u00ean m\u00f4n v\u00e0 kinh nghi\u1ec7m trong qu\u1ea3n l\u00fd kinh doanh ho\u1eb7c c\u00e1c l\u0129nh v\u1ef1c t\u00e0i ch\u00ednh, ng\u00e2n h\u00e0ng, ch\u1ee9ng kho\u00e1n.<\/li>\n<li>Kh\u00f4ng tham gia H\u0110QT \u1edf qu\u00e1 5 c\u00f4ng ty.<\/li>\n<li>Kh\u00f4ng c\u00f3 ti\u1ec1n \u00e1n ho\u1eb7c ti\u1ec1n s\u1ef1 li\u00ean quan \u0111\u1ebfn t\u1ed9i ph\u1ea1m kinh t\u1ebf.<\/li>\n<\/ul>\n<p>\u0110\u1ec3 \u0111\u1ea3m b\u1ea3o t\u00ednh \u0111\u1ed9c l\u1eadp, c\u00e1c th\u00e0nh vi\u00ean \u0111\u1ed9c l\u1eadp ph\u1ea3i tu\u00e2n th\u1ee7 th\u00eam c\u00e1c quy \u0111\u1ecbnh \u0111\u1eb7c bi\u1ec7t.<\/p>\n<h3><span class=\"ez-toc-section\" id=\"Quy_dinh_ve_Thanh_vien_Doc_lap\"><\/span>Quy \u0111\u1ecbnh v\u1ec1 Th\u00e0nh vi\u00ean \u0110\u1ed9c l\u1eadp<span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p>Ngo\u00e0i c\u00e1c ti\u00eau chu\u1ea9n chung, th\u00e0nh vi\u00ean \u0111\u1ed9c l\u1eadp ph\u1ea3i \u0111\u00e1p \u1ee9ng c\u00e1c y\u00eau c\u1ea7u sau:<\/p>\n<ul>\n<li>Kh\u00f4ng l\u00e0m vi\u1ec7c cho qu\u1ef9 \u0111\u1ea7u t\u01b0 ho\u1eb7c c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9.<\/li>\n<li>Kh\u00f4ng c\u00f3 quan h\u1ec7 gia \u0111\u00ecnh v\u1edbi ng\u01b0\u1eddi qu\u1ea3n l\u00fd c\u1ee7a qu\u1ef9 ho\u1eb7c c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9.<\/li>\n<li>Kh\u00f4ng tr\u1ef1c ti\u1ebfp s\u1edf h\u1eefu ho\u1eb7c \u0111\u1ea1i di\u1ec7n s\u1edf h\u1eefu t\u1eeb <strong>1% v\u1ed1n \u0111i\u1ec1u l\u1ec7<\/strong> tr\u1edf l\u00ean c\u1ee7a qu\u1ef9.<\/li>\n<li>Kh\u00f4ng l\u00e0m vi\u1ec7c t\u1ea1i c\u00e1c t\u1ed5 ch\u1ee9c cung c\u1ea5p d\u1ecbch v\u1ee5 t\u01b0 v\u1ea5n ph\u00e1p lu\u1eadt ho\u1eb7c ki\u1ec3m to\u00e1n cho qu\u1ef9 trong <strong>2 n\u0103m g\u1ea7n \u0111\u00e2y<\/strong>.<\/li>\n<\/ul>\n<p>Th\u1eddi gian nhi\u1ec7m k\u1ef3 c\u1ee7a th\u00e0nh vi\u00ean \u0111\u1ed9c l\u1eadp kh\u00f4ng qu\u00e1 <strong>5 n\u0103m<\/strong>. Th\u00e0nh vi\u00ean c\u00f3 th\u1ec3 \u0111\u01b0\u1ee3c b\u1ea7u l\u1ea1i li\u00ean t\u1ee5c, nh\u01b0ng sau <strong>2 nhi\u1ec7m k\u1ef3 li\u00ean ti\u1ebfp<\/strong>, c\u1ea7n ngh\u1ec9 \u00edt nh\u1ea5t <strong>2 n\u0103m<\/strong> tr\u01b0\u1edbc khi t\u00e1i b\u1ea7u.<\/p>\n<h2><span class=\"ez-toc-section\" id=\"Quyen_han_va_Trach_nhiem_cua_Hoi_dong_Quan_tri\"><\/span>Quy\u1ec1n h\u1ea1n v\u00e0 Tr\u00e1ch nhi\u1ec7m c\u1ee7a H\u1ed9i \u0111\u1ed3ng Qu\u1ea3n tr\u1ecb<span class=\"ez-toc-section-end\"><\/span><\/h2>\n<p>Sau khi th\u00e0nh l\u1eadp H\u1ed9i \u0111\u1ed3ng Qu\u1ea3n tr\u1ecb (H\u0110QT) theo \u0111\u00fang quy \u0111\u1ecbnh, c\u00e1c quy\u1ec1n h\u1ea1n v\u00e0 tr\u00e1ch nhi\u1ec7m c\u1ee7a H\u0110QT \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n nh\u01b0 sau:<\/p>\n<h3><span class=\"ez-toc-section\" id=\"Giam_sat_Quy\"><\/span>Gi\u00e1m s\u00e1t Qu\u1ef9<span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p>H\u0110QT ch\u1ecbu tr\u00e1ch nhi\u1ec7m gi\u00e1m s\u00e1t to\u00e0n b\u1ed9 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a qu\u1ef9 \u0111\u1ea7u t\u01b0, c\u1ee5 th\u1ec3:<\/p>\n<ul>\n<li>\u0110\u1ea3m b\u1ea3o qu\u1ef9 tu\u00e2n th\u1ee7 \u0110i\u1ec1u l\u1ec7 v\u00e0 c\u00e1c quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt;<\/li>\n<li>\u0110\u1ea3m b\u1ea3o c\u00e1c ho\u1ea1t \u0111\u1ed9ng c\u1ee7a qu\u1ef9 ph\u00f9 h\u1ee3p v\u1edbi chi\u1ebfn l\u01b0\u1ee3c \u0111\u00e3 \u0111\u01b0\u1ee3c ph\u00ea duy\u1ec7t;<\/li>\n<li>Theo d\u00f5i k\u1ebft qu\u1ea3 ho\u1ea1t \u0111\u1ed9ng v\u00e0 c\u00e1c ch\u1ec9 s\u1ed1 t\u00e0i ch\u00ednh;<\/li>\n<li>Ki\u1ec3m so\u00e1t c\u00e1c giao d\u1ecbch v\u1edbi b\u00ean li\u00ean quan \u0111\u1ec3 tr\u00e1nh xung \u0111\u1ed9t l\u1ee3i \u00edch.<\/li>\n<\/ul>\n<p>H\u0110QT t\u1ed5 ch\u1ee9c c\u00e1c cu\u1ed9c h\u1ecdp \u0111\u1ecbnh k\u1ef3 \u0111\u1ec3 \u0111\u00e1nh gi\u00e1 t\u00ecnh h\u00ecnh ho\u1ea1t \u0111\u1ed9ng v\u00e0 \u0111\u01b0a ra c\u00e1c quy\u1ebft \u0111\u1ecbnh quan tr\u1ecdng. Ngo\u00e0i vai tr\u00f2 gi\u00e1m s\u00e1t, H\u0110QT c\u00f2n ch\u1ecbu tr\u00e1ch nhi\u1ec7m \u0111\u01b0a ra c\u00e1c quy\u1ebft \u0111\u1ecbnh \u0111\u1ea7u t\u01b0 l\u1edbn.<\/p>\n<h3><span class=\"ez-toc-section\" id=\"Quyet_dinh_Dau_tu\"><\/span>Quy\u1ebft \u0111\u1ecbnh \u0110\u1ea7u t\u01b0<span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p>H\u0110QT c\u00f3 quy\u1ec1n ph\u00ea duy\u1ec7t c\u00e1c quy\u1ebft \u0111\u1ecbnh \u0111\u1ea7u t\u01b0 quan tr\u1ecdng nh\u1ea5t, bao g\u1ed3m:<\/p>\n<ul>\n<li>Ph\u00ea duy\u1ec7t chi\u1ebfn l\u01b0\u1ee3c \u0111\u1ea7u t\u01b0 t\u1ed5ng th\u1ec3 c\u1ee7a qu\u1ef9;<\/li>\n<li>Quy\u1ebft \u0111\u1ecbnh c\u00e1c kho\u1ea3n \u0111\u1ea7u t\u01b0 c\u00f3 quy m\u00f4 l\u1edbn;<\/li>\n<li>\u0110i\u1ec1u ch\u1ec9nh c\u01a1 c\u1ea5u danh m\u1ee5c \u0111\u1ea7u t\u01b0 khi c\u1ea7n;<\/li>\n<li>Gi\u00e1m s\u00e1t vi\u1ec7c th\u1ef1c hi\u1ec7n c\u00e1c quy\u1ebft \u0111\u1ecbnh \u0111\u1ea7u t\u01b0 c\u1ee7a ban \u0111i\u1ec1u h\u00e0nh.<\/li>\n<\/ul>\n<p>\u0110\u1ec3 \u0111\u1ea3m b\u1ea3o minh b\u1ea1ch v\u00e0 tu\u00e2n th\u1ee7 quy \u0111\u1ecbnh, H\u0110QT th\u1ef1c hi\u1ec7n c\u00e1c b\u00e1o c\u00e1o \u0111\u1ecbnh k\u1ef3 v\u00e0 \u0111\u1ed9t xu\u1ea5t.<\/p>\n<h3><span class=\"ez-toc-section\" id=\"Yeu_cau_Bao_cao\"><\/span>Y\u00eau c\u1ea7u B\u00e1o c\u00e1o<span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p>H\u0110QT c\u00f3 tr\u00e1ch nhi\u1ec7m th\u1ef1c hi\u1ec7n v\u00e0 g\u1eedi c\u00e1c b\u00e1o c\u00e1o theo quy \u0111\u1ecbnh. C\u00e1c lo\u1ea1i b\u00e1o c\u00e1o bao g\u1ed3m:<\/p>\n<table>\n<colgroup>\n<col \/>\n<col \/>\n<col \/><\/colgroup>\n<tbody>\n<tr>\n<th colspan=\"1\" rowspan=\"1\">Lo\u1ea1i b\u00e1o c\u00e1o<\/th>\n<th colspan=\"1\" rowspan=\"1\">T\u1ea7n su\u1ea5t<\/th>\n<th colspan=\"1\" rowspan=\"1\">N\u1ed9i dung ch\u00ednh<\/th>\n<\/tr>\n<tr>\n<td colspan=\"1\" rowspan=\"1\">B\u00e1o c\u00e1o t\u00e0i ch\u00ednh<\/td>\n<td colspan=\"1\" rowspan=\"1\">H\u00e0ng qu\u00fd<\/td>\n<td colspan=\"1\" rowspan=\"1\">T\u00ecnh h\u00ecnh t\u00e0i ch\u00ednh v\u00e0 k\u1ebft qu\u1ea3 ho\u1ea1t \u0111\u1ed9ng c\u1ee7a qu\u1ef9<\/td>\n<\/tr>\n<tr>\n<td colspan=\"1\" rowspan=\"1\">B\u00e1o c\u00e1o qu\u1ea3n tr\u1ecb<\/td>\n<td colspan=\"1\" rowspan=\"1\">6 th\u00e1ng<\/td>\n<td colspan=\"1\" rowspan=\"1\">Ho\u1ea1t \u0111\u1ed9ng qu\u1ea3n tr\u1ecb v\u00e0 vi\u1ec7c tu\u00e2n th\u1ee7 quy \u0111\u1ecbnh<\/td>\n<\/tr>\n<tr>\n<td colspan=\"1\" rowspan=\"1\">B\u00e1o c\u00e1o th\u01b0\u1eddng ni\u00ean<\/td>\n<td colspan=\"1\" rowspan=\"1\">H\u00e0ng n\u0103m<\/td>\n<td colspan=\"1\" rowspan=\"1\">\u0110\u00e1nh gi\u00e1 t\u1ed5ng th\u1ec3 ho\u1ea1t \u0111\u1ed9ng v\u00e0 k\u1ebf ho\u1ea1ch ph\u00e1t tri\u1ec3n<\/td>\n<\/tr>\n<tr>\n<td colspan=\"1\" rowspan=\"1\">B\u00e1o c\u00e1o \u0111\u1ed9t xu\u1ea5t<\/td>\n<td colspan=\"1\" rowspan=\"1\">Khi y\u00eau c\u1ea7u<\/td>\n<td colspan=\"1\" rowspan=\"1\">N\u1ed9i dung theo y\u00eau c\u1ea7u c\u1ee7a c\u01a1 quan qu\u1ea3n l\u00fd<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<p>H\u0110QT ph\u1ea3i c\u00f4ng khai th\u00f4ng tin r\u00f5 r\u00e0ng v\u00e0 g\u1eedi b\u00e1o c\u00e1o \u0111\u00fang th\u1eddi h\u1ea1n \u0111\u1ebfn c\u00e1c c\u01a1 quan qu\u1ea3n l\u00fd, bao g\u1ed3m \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc (UBCKNN).<\/p>\n    <div class=\"infina-box\">\n\t\t <div class=\"qr-code\" style=\"margin-top: 20px;\">\n            <a href=\"https:\/\/infina.vn\/?utm_content=blog_thuc\" target=\"_blank\">\n                <img decoding=\"async\" src=\"http:\/\/infina.vn\/blog\/wp-content\/uploads\/2025\/02\/app_banner-09-1-1.png\" alt=\"QR Code Infina\" title=\"\">\n            <\/a>\n        <\/div>\n        <p style=\"color: black;\"><strong>T\u00e0i kho\u1ea3n nh\u1eadn ti\u1ec1n, Sinh l\u1eddi t\u1ef1 \u0111\u1ed9ng nh\u01b0 g\u1eedi ti\u1ebft ki\u1ec7m!<\/strong><\/p>\n        <p class=\"my-3\">T\u00e0i kho\u1ea3n sinh l\u1eddi <a href=\"https:\/\/infina.vn\" data-internallinksmanager029f6b8e52c=\"2\" title=\"Infina\" target=\"_blank\" rel=\"noopener\">Infina<\/a> l\u00e0 s\u1ef1 l\u1ef1a ch\u1ecdn l\u00fd t\u01b0\u1edfng cho t\u1ea5t c\u1ea3 m\u1ecdi ng\u01b0\u1eddi, nh\u1eefng ai mu\u1ed1n t\u1ed1i \u01b0u h\u00f3a t\u00e0i ch\u00ednh c\u00e1 nh\u00e2n v\u00e0 sinh l\u1eddi tr\u00ean d\u00f2ng ti\u1ec1n c\u1ee7a m\u00ecnh.<\/p>\n        <p class=\"my-3\">N\u1ea1p v\u00e0 r\u00fat ti\u1ec1n nhanh ch\u00f3ng trong v\u00f2ng 30 gi\u00e2y, nh\u1eadn l\u1ee3i nhu\u1eadn h\u00e0ng ng\u00e0y v\u00e0 r\u00fat v\u1ed1n b\u1ea5t k\u1ef3 l\u00fac n\u00e0o m\u00e0 kh\u00f4ng b\u1ecb m\u1ea5t l\u1ee3i nhu\u1eadn.<\/p>\n        <p class=\"my-3\">\u0110\u01b0\u1ee3c C\u00f4ng ty TNHH MTV qu\u1ea3n l\u00fd qu\u1ef9 ACB (ACBC), C\u00f4ng ty c\u1ed5 ph\u1ea7n qu\u1ea3n l\u00fd qu\u1ef9 PVI (PVI AM) qu\u1ea3n l\u00fd \u0111\u1ea7u t\u01b0 v\u00e0 Ng\u00e2n h\u00e0ng BIDV l\u01b0u k\u00fd. Qu\u1ef9 ACBC, v\u00e0 Qu\u1ef9 PVI AM s\u1ebd th\u1ef1c hi\u1ec7n g\u1eedi ti\u1ec1n t\u1ea1i c\u00e1c ng\u00e2n h\u00e0ng, t\u1ed5 ch\u1ee9c t\u00edn d\u1ee5ng uy t\u00edn.<\/p>\n        <a class=\"infina-button\" href=\"https:\/\/infina.vn\/?utm_content=blog_thuc\" style=\"margin-bottom: 20px; display: inline-block;\">Tr\u1ea3i nghi\u1ec7m sinh l\u1eddi mi\u1ec5n ph\u00ed<\/a>\n    <\/div>\n    \n<h2><span class=\"ez-toc-section\" id=\"Quy_dinh_ve_Cuoc_hop_Hoi_dong_Quan_tri\"><\/span>Quy \u0111\u1ecbnh v\u1ec1 Cu\u1ed9c h\u1ecdp H\u1ed9i \u0111\u1ed3ng Qu\u1ea3n tr\u1ecb<span class=\"ez-toc-section-end\"><\/span><\/h2>\n<h3><span class=\"ez-toc-section\" id=\"Lich_hop\"><\/span>L\u1ecbch h\u1ecdp<span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p>Theo quy \u0111\u1ecbnh c\u1ee7a Lu\u1eadt Ch\u1ee9ng kho\u00e1n, H\u1ed9i \u0111\u1ed3ng Qu\u1ea3n tr\u1ecb (H\u0110QT) qu\u1ef9 \u0111\u1ea7u t\u01b0 c\u1ea7n t\u1ed5 ch\u1ee9c c\u00e1c cu\u1ed9c h\u1ecdp nh\u01b0 sau:<\/p>\n<ul>\n<li><strong>H\u1ecdp \u0111\u1ecbnh k\u1ef3<\/strong>: \u00cdt nh\u1ea5t m\u1ed9t l\u1ea7n m\u1ed7i qu\u00fd.<\/li>\n<li><strong>H\u1ecdp b\u1ea5t th\u01b0\u1eddng<\/strong>: \u0110\u01b0\u1ee3c tri\u1ec7u t\u1eadp khi c\u00f3 y\u00eau c\u1ea7u t\u1eeb:\n<ul>\n<li>Ch\u1ee7 t\u1ecbch H\u0110QT.<\/li>\n<li>\u00cdt nh\u1ea5t 1\/3 s\u1ed1 th\u00e0nh vi\u00ean H\u0110QT.<\/li>\n<li>Ban Ki\u1ec3m so\u00e1t.<\/li>\n<li>C\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9.<\/li>\n<li>\u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc (trong tr\u01b0\u1eddng h\u1ee3p c\u1ea7n thi\u1ebft).<\/li>\n<\/ul>\n<\/li>\n<\/ul>\n<p>C\u00e1c cu\u1ed9c h\u1ecdp c\u00f3 th\u1ec3 di\u1ec5n ra tr\u1ef1c ti\u1ebfp ho\u1eb7c tr\u1ef1c tuy\u1ebfn, nh\u01b0ng ph\u1ea3i \u0111\u1ea3m b\u1ea3o s\u1ef1 tham gia \u0111\u1ea7y \u0111\u1ee7 v\u00e0 tu\u00e2n th\u1ee7 c\u00e1c quy \u0111\u1ecbnh v\u1ec1 ghi ch\u00e9p v\u00e0 l\u01b0u tr\u1eef. Nh\u1eefng quy \u0111\u1ecbnh n\u00e0y gi\u00fap \u0111\u1ea3m b\u1ea3o t\u00ednh nh\u1ea5t qu\u00e1n trong vi\u1ec7c ra quy\u1ebft \u0111\u1ecbnh c\u1ee7a H\u0110QT.<\/p>\n<h3><span class=\"ez-toc-section\" id=\"Quy_dinh_Bieu_quyet\"><\/span>Quy \u0111\u1ecbnh Bi\u1ec3u quy\u1ebft<span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p>Vi\u1ec7c th\u00f4ng qua c\u00e1c quy\u1ebft \u0111\u1ecbnh trong H\u0110QT ph\u1ee5 thu\u1ed9c v\u00e0o t\u1ef7 l\u1ec7 bi\u1ec3u quy\u1ebft v\u00e0 \u0111i\u1ec1u ki\u1ec7n k\u00e8m theo, nh\u01b0 sau:<\/p>\n<table>\n<colgroup>\n<col \/>\n<col \/>\n<col \/><\/colgroup>\n<tbody>\n<tr>\n<th colspan=\"1\" rowspan=\"1\">Lo\u1ea1i quy\u1ebft \u0111\u1ecbnh<\/th>\n<th colspan=\"1\" rowspan=\"1\">T\u1ef7 l\u1ec7 bi\u1ec3u quy\u1ebft t\u1ed1i thi\u1ec3u<\/th>\n<th colspan=\"1\" rowspan=\"1\">\u0110i\u1ec1u ki\u1ec7n b\u1ed5 sung<\/th>\n<\/tr>\n<tr>\n<td colspan=\"1\" rowspan=\"1\">Quy\u1ebft \u0111\u1ecbnh th\u00f4ng th\u01b0\u1eddng<\/td>\n<td colspan=\"1\" rowspan=\"1\">H\u01a1n 50% th\u00e0nh vi\u00ean d\u1ef1 h\u1ecdp<\/td>\n<td colspan=\"1\" rowspan=\"1\">Ch\u1ee7 t\u1ecbch c\u00f3 quy\u1ec1n b\u1ecf phi\u1ebfu quy\u1ebft \u0111\u1ecbnh trong tr\u01b0\u1eddng h\u1ee3p phi\u1ebfu b\u1ea7u c\u00e2n b\u1eb1ng.<\/td>\n<\/tr>\n<tr>\n<td colspan=\"1\" rowspan=\"1\">Quy\u1ebft \u0111\u1ecbnh quan tr\u1ecdng<\/td>\n<td colspan=\"1\" rowspan=\"1\">H\u01a1n 2\/3 t\u1ed5ng s\u1ed1 th\u00e0nh vi\u00ean<\/td>\n<td colspan=\"1\" rowspan=\"1\">C\u1ea7n \u00fd ki\u1ebfn b\u1eb1ng v\u0103n b\u1ea3n c\u1ee7a c\u00e1c th\u00e0nh vi\u00ean v\u1eafng m\u1eb7t.<\/td>\n<\/tr>\n<tr>\n<td colspan=\"1\" rowspan=\"1\">Quy\u1ebft \u0111\u1ecbnh \u0111\u1eb7c bi\u1ec7t<\/td>\n<td colspan=\"1\" rowspan=\"1\">100% th\u00e0nh vi\u00ean<\/td>\n<td colspan=\"1\" rowspan=\"1\">\u00c1p d\u1ee5ng cho c\u00e1c v\u1ea5n \u0111\u1ec1 li\u00ean quan \u0111\u1ebfn thay \u0111\u1ed5i l\u1edbn trong ho\u1ea1t \u0111\u1ed9ng c\u1ee7a qu\u1ef9.<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<h3><span class=\"ez-toc-section\" id=\"Quy_dinh_ve_Luu_tru_Ho_so\"><\/span>Quy \u0111\u1ecbnh v\u1ec1 L\u01b0u tr\u1eef H\u1ed3 s\u01a1<span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p>H\u0110QT ph\u1ea3i \u0111\u1ea3m b\u1ea3o l\u01b0u tr\u1eef \u0111\u1ea7y \u0111\u1ee7 c\u00e1c t\u00e0i li\u1ec7u quan tr\u1ecdng sau:<\/p>\n<ul>\n<li><strong>Bi\u00ean b\u1ea3n h\u1ecdp<\/strong>: Ghi r\u00f5 th\u1eddi gian, \u0111\u1ecba \u0111i\u1ec3m, th\u00e0nh ph\u1ea7n tham d\u1ef1, n\u1ed9i dung th\u1ea3o lu\u1eadn v\u00e0 k\u1ebft qu\u1ea3 bi\u1ec3u quy\u1ebft.<\/li>\n<li><strong>Ngh\u1ecb quy\u1ebft<\/strong>: Bao g\u1ed3m t\u1ea5t c\u1ea3 c\u00e1c quy\u1ebft \u0111\u1ecbnh \u0111\u01b0\u1ee3c th\u00f4ng qua trong cu\u1ed9c h\u1ecdp.<\/li>\n<li><strong>T\u00e0i li\u1ec7u k\u00e8m theo<\/strong>: C\u00e1c b\u00e1o c\u00e1o, t\u1edd tr\u00ecnh v\u00e0 c\u00e1c t\u00e0i li\u1ec7u li\u00ean quan.<\/li>\n<li><strong>Phi\u1ebfu bi\u1ec3u quy\u1ebft<\/strong>: Bao g\u1ed3m c\u1ea3 \u00fd ki\u1ebfn b\u1eb1ng v\u0103n b\u1ea3n c\u1ee7a th\u00e0nh vi\u00ean kh\u00f4ng tham d\u1ef1.<\/li>\n<\/ul>\n<p>C\u00e1c t\u00e0i li\u1ec7u n\u00e0y c\u1ea7n \u0111\u01b0\u1ee3c l\u01b0u tr\u1eef t\u1ed1i thi\u1ec3u 10 n\u0103m t\u1ea1i tr\u1ee5 s\u1edf c\u00f4ng ty qu\u1ea3n l\u00fd qu\u1ef9, \u0111\u1ed3ng th\u1eddi ph\u1ea3i \u0111\u01b0\u1ee3c s\u1ed1 h\u00f3a v\u00e0 b\u1ea3o qu\u1ea3n an to\u00e0n. Ch\u00fang ph\u1ea3i lu\u00f4n s\u1eb5n s\u00e0ng \u0111\u1ec3 cung c\u1ea5p cho c\u01a1 quan qu\u1ea3n l\u00fd khi c\u00f3 y\u00eau c\u1ea7u.<\/p>\n<p>Nh\u1eefng quy \u0111\u1ecbnh v\u1ec1 h\u1ecdp v\u00e0 l\u01b0u tr\u1eef n\u00e0y g\u00f3p ph\u1ea7n t\u0103ng c\u01b0\u1eddng t\u00ednh minh b\u1ea1ch trong ho\u1ea1t \u0111\u1ed9ng c\u1ee7a H\u0110QT.<\/p>\n<h2><span class=\"ez-toc-section\" id=\"Tuan_thu_Phap_ly\"><\/span>Tu\u00e2n th\u1ee7 Ph\u00e1p l\u00fd<span class=\"ez-toc-section-end\"><\/span><\/h2>\n<p>H\u0110QT c\u1ea7n th\u1ef1c hi\u1ec7n nghi\u00eam t\u00fac tr\u00e1ch nhi\u1ec7m ph\u00e1p l\u00fd \u0111\u1ec3 b\u1ea3o v\u1ec7 qu\u1ef9 v\u00e0 quy\u1ec1n l\u1ee3i nh\u00e0 \u0111\u1ea7u t\u01b0, \u0111\u1eb7c bi\u1ec7t sau khi \u0111\u00e3 th\u1ea3o lu\u1eadn v\u1ec1 quy\u1ec1n h\u1ea1n v\u00e0 quy tr\u00ecnh h\u1ecdp.<\/p>\n<h3><span class=\"ez-toc-section\" id=\"Trach_nhiem_Phap_ly_cua_Thanh_vien\"><\/span>Tr\u00e1ch nhi\u1ec7m Ph\u00e1p l\u00fd c\u1ee7a Th\u00e0nh vi\u00ean<span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p>Th\u00e0nh vi\u00ean H\u0110QT c\u00f3 ngh\u0129a v\u1ee5:<\/p>\n<ul>\n<li><strong>H\u00e0nh \u0111\u1ed9ng trung th\u1ef1c v\u00e0 c\u1ea9n tr\u1ecdng<\/strong> v\u00ec l\u1ee3i \u00edch c\u1ee7a qu\u1ef9 v\u00e0 nh\u00e0 \u0111\u1ea7u t\u01b0.<\/li>\n<li><strong>Ch\u1ecbu tr\u00e1ch nhi\u1ec7m chung<\/strong> \u0111\u1ed1i v\u1edbi c\u00e1c quy\u1ebft \u0111\u1ecbnh g\u00e2y thi\u1ec7t h\u1ea1i cho qu\u1ef9.<\/li>\n<li><strong>B\u1ea3o m\u1eadt th\u00f4ng tin<\/strong>, \u0111\u1ed3ng th\u1eddi tu\u00e2n th\u1ee7 nghi\u00eam ng\u1eb7t c\u00e1c quy \u0111\u1ecbnh li\u00ean quan \u0111\u1ebfn giao d\u1ecbch n\u1ed9i b\u1ed9.<\/li>\n<\/ul>\n<h3><span class=\"ez-toc-section\" id=\"Hau_qua_Vi_pham\"><\/span>H\u1eadu qu\u1ea3 Vi ph\u1ea1m<span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p>D\u01b0\u1edbi \u0111\u00e2y l\u00e0 c\u00e1c m\u1ee9c \u0111\u1ed9 vi ph\u1ea1m v\u00e0 h\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t t\u01b0\u01a1ng \u1ee9ng:<\/p>\n<table>\n<colgroup>\n<col \/>\n<col \/>\n<col \/><\/colgroup>\n<tbody>\n<tr>\n<th colspan=\"1\" rowspan=\"1\">M\u1ee9c \u0111\u1ed9 vi ph\u1ea1m<\/th>\n<th colspan=\"1\" rowspan=\"1\">H\u00ecnh th\u1ee9c x\u1eed ph\u1ea1t<\/th>\n<th colspan=\"1\" rowspan=\"1\">Bi\u1ec7n ph\u00e1p b\u1ed5 sung<\/th>\n<\/tr>\n<tr>\n<td colspan=\"1\" rowspan=\"1\">Vi ph\u1ea1m nh\u1eb9<\/td>\n<td colspan=\"1\" rowspan=\"1\">C\u1ea3nh c\u00e1o, ph\u1ea1t t\u1eeb 10-50 tri\u1ec7u \u0111\u1ed3ng<\/td>\n<td colspan=\"1\" rowspan=\"1\">Y\u00eau c\u1ea7u kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3<\/td>\n<\/tr>\n<tr>\n<td colspan=\"1\" rowspan=\"1\">Vi ph\u1ea1m nghi\u00eam tr\u1ecdng<\/td>\n<td colspan=\"1\" rowspan=\"1\">Ph\u1ea1t t\u1eeb 50-150 tri\u1ec7u \u0111\u1ed3ng<\/td>\n<td colspan=\"1\" rowspan=\"1\">\u0110\u00ecnh ch\u1ec9 ch\u1ee9c v\u1ee5 t\u1ea1m th\u1eddi<\/td>\n<\/tr>\n<tr>\n<td colspan=\"1\" rowspan=\"1\">Vi ph\u1ea1m r\u1ea5t nghi\u00eam tr\u1ecdng<\/td>\n<td colspan=\"1\" rowspan=\"1\">Ph\u1ea1t tr\u00ean 150 tri\u1ec7u \u0111\u1ed3ng<\/td>\n<td colspan=\"1\" rowspan=\"1\">C\u1ea5m \u0111\u1ea3m nhi\u1ec7m ch\u1ee9c v\u1ee5<\/td>\n<\/tr>\n<\/tbody>\n<\/table>\n<h3><span class=\"ez-toc-section\" id=\"Giam_sat_Tuan_thu\"><\/span>Gi\u00e1m s\u00e1t Tu\u00e2n th\u1ee7<span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p>\u0110\u1ec3 \u0111\u1ea3m b\u1ea3o tu\u00e2n th\u1ee7 ph\u00e1p lu\u1eadt, H\u0110QT c\u1ea7n x\u00e2y d\u1ef1ng h\u1ec7 th\u1ed1ng gi\u00e1m s\u00e1t hi\u1ec7u qu\u1ea3. C\u00e1c c\u01a1 quan v\u00e0 t\u1ed5 ch\u1ee9c tham gia gi\u00e1m s\u00e1t bao g\u1ed3m:<\/p>\n<ul>\n<li><strong>\u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc<\/strong>: Th\u1ef1c hi\u1ec7n gi\u00e1m s\u00e1t tr\u1ef1c ti\u1ebfp v\u00e0 \u0111\u1ecbnh k\u1ef3.<\/li>\n<li><strong>Ng\u00e2n h\u00e0ng gi\u00e1m s\u00e1t<\/strong>: Ki\u1ec3m tra vi\u1ec7c tu\u00e2n th\u1ee7 c\u00e1c quy \u0111\u1ecbnh v\u1ec1 \u0111\u1ea7u t\u01b0 v\u00e0 giao d\u1ecbch.<\/li>\n<li><strong>Ki\u1ec3m to\u00e1n \u0111\u1ed9c l\u1eadp<\/strong>: Ki\u1ec3m to\u00e1n b\u00e1o c\u00e1o t\u00e0i ch\u00ednh h\u00e0ng n\u0103m \u0111\u1ec3 \u0111\u1ea3m b\u1ea3o minh b\u1ea1ch.<\/li>\n<\/ul>\n<p>Ngo\u00e0i ra, H\u0110QT ph\u1ea3i duy tr\u00ec h\u1ec7 th\u1ed1ng ki\u1ec3m so\u00e1t n\u1ed9i b\u1ed9 ch\u1eb7t ch\u1ebd v\u00e0 th\u1ef1c hi\u1ec7n b\u00e1o c\u00e1o \u0111\u1ecbnh k\u1ef3 (h\u00e0ng qu\u00fd, \u0111\u1ed9t xu\u1ea5t) ho\u1eb7c khi ph\u00e1t hi\u1ec7n giao d\u1ecbch b\u1ea5t th\u01b0\u1eddng cho c\u00e1c c\u01a1 quan qu\u1ea3n l\u00fd. \u0110i\u1ec1u n\u00e0y gi\u00fap \u0111\u1ea3m b\u1ea3o ho\u1ea1t \u0111\u1ed9ng c\u1ee7a qu\u1ef9 lu\u00f4n minh b\u1ea1ch v\u00e0 \u0111\u00fang quy \u0111\u1ecbnh.<\/p>\n<h2><span class=\"ez-toc-section\" id=\"Ket_luan\"><\/span>K\u1ebft lu\u1eadn<span class=\"ez-toc-section-end\"><\/span><\/h2>\n<p>C\u00e1c quy \u0111\u1ecbnh ph\u00e1p l\u00fd v\u1ec1 H\u1ed9i \u0111\u1ed3ng Qu\u1ea3n tr\u1ecb (H\u0110QT) qu\u1ef9 \u0111\u1ea7u t\u01b0 \u0111\u00f3ng vai tr\u00f2 quan tr\u1ecdng trong vi\u1ec7c \u0111\u1ea3m b\u1ea3o ho\u1ea1t \u0111\u1ed9ng minh b\u1ea1ch v\u00e0 hi\u1ec7u qu\u1ea3. \u0110\u00e2y kh\u00f4ng ch\u1ec9 l\u00e0 nh\u1eefng quy t\u1eafc h\u00e0nh ch\u00ednh m\u00e0 c\u00f2n l\u00e0 n\u1ec1n m\u00f3ng x\u00e2y d\u1ef1ng ni\u1ec1m tin t\u1eeb nh\u00e0 \u0111\u1ea7u t\u01b0 v\u00e0 th\u00fac \u0111\u1ea9y th\u1ecb tr\u01b0\u1eddng ph\u00e1t tri\u1ec3n \u1ed5n \u0111\u1ecbnh.<\/p>\n<p><strong>Nh\u1eefng \u0111i\u1ec3m ch\u00ednh c\u1ea7n l\u01b0u \u00fd:<\/strong><\/p>\n<ul>\n<li>Vi\u1ec7c tu\u00e2n th\u1ee7 quy \u0111\u1ecbnh v\u1ec1 c\u01a1 c\u1ea5u H\u0110QT gi\u00fap duy tr\u00ec t\u00ednh \u0111\u1ed9c l\u1eadp v\u00e0 chuy\u00ean m\u00f4n c\u1ea7n thi\u1ebft.<\/li>\n<li>Quy\u1ec1n h\u1ea1n v\u00e0 tr\u00e1ch nhi\u1ec7m \u0111\u01b0\u1ee3c ph\u00e2n \u0111\u1ecbnh r\u00f5 r\u00e0ng, g\u00f3p ph\u1ea7n t\u0103ng c\u01b0\u1eddng c\u01a1 ch\u1ebf ki\u1ec3m so\u00e1t v\u00e0 b\u1ea3o v\u1ec7 quy\u1ec1n l\u1ee3i nh\u00e0 \u0111\u1ea7u t\u01b0.<\/li>\n<li>H\u1ec7 th\u1ed1ng gi\u00e1m s\u00e1t \u0111a t\u1ea7ng, t\u1eeb c\u01a1 quan qu\u1ea3n l\u00fd nh\u00e0 n\u01b0\u1edbc \u0111\u1ebfn ki\u1ec3m to\u00e1n \u0111\u1ed9c l\u1eadp, gi\u00fap nh\u1eadn di\u1ec7n v\u00e0 ng\u0103n ch\u1eb7n c\u00e1c vi ph\u1ea1m m\u1ed9t c\u00e1ch hi\u1ec7u qu\u1ea3.<\/li>\n<\/ul>\n<p>\u0110\u1ec3 qu\u1ea3n tr\u1ecb hi\u1ec7u qu\u1ea3 h\u01a1n, c\u00e1c quy tr\u00ecnh c\u1ea7n \u0111\u01b0\u1ee3c th\u1ef1c hi\u1ec7n chuy\u00ean nghi\u1ec7p, minh b\u1ea1ch v\u00e0 th\u01b0\u1eddng xuy\u00ean c\u1eadp nh\u1eadt theo quy \u0111\u1ecbnh ph\u00e1p l\u00fd. \u0110i\u1ec1u n\u00e0y kh\u00f4ng ch\u1ec9 gi\u1ea3m thi\u1ec3u r\u1ee7i ro m\u00e0 c\u00f2n th\u00fac \u0111\u1ea9y s\u1ef1 ph\u00e1t tri\u1ec3n \u1ed5n \u0111\u1ecbnh. C\u00e1c quy \u0111\u1ecbnh hi\u1ec7n h\u00e0nh c\u0169ng th\u1ec3 hi\u1ec7n vai tr\u00f2 gi\u00e1m s\u00e1t c\u1ee7a \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u1edbc (UBCKNN), \u0111\u1ea3m b\u1ea3o nh\u00e0 \u0111\u1ea7u t\u01b0 c\u00f3 th\u1ec3 \u0111\u1eb7t ni\u1ec1m tin v\u00e0o th\u1ecb tr\u01b0\u1eddng.<\/p>\n","protected":false},"excerpt":{"rendered":"<p>H&#7897;i &#273;&#7891;ng Qu&#7843;n tr&#7883; (H&#272;QT) l&agrave; c&#417; quan quan tr&#7885;ng ch&#7883;u tr&aacute;ch nhi&#7879;m gi&aacute;m s&aacute;t v&agrave; quy&#7871;t &#273;&#7883;nh chi&#7871;n l&#432;&#7907;c ho&#7841;t &#273;&#7897;ng c&#7911;a qu&#7929; &#273;&#7847;u t&#432;. D&#7921;a tr&ecirc;n Lu&#7853;t Ch&#7913;ng kho&aacute;n 2019 v&agrave; Ngh&#7883; &#273;&#7883;nh 155\/2020\/N&#272;-CP, c&aacute;c quy &#273;&#7883;nh ch&iacute;nh bao g&#7891;m: Th&agrave;nh ph&#7847;n v&agrave; c&#417; c&#7845;u: T&#7915; 3 &#273;&#7871;n 11 th&agrave;nh vi&ecirc;n, trong &#273;&oacute; [&hellip;]<\/p>\n","protected":false},"author":40,"featured_media":26411,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[2],"tags":[],"class_list":{"0":"post-26410","1":"post","2":"type-post","3":"status-publish","4":"format-standard","5":"has-post-thumbnail","7":"category-kien-thuc-tai-chinh"},"_links":{"self":[{"href":"https:\/\/infina.vn\/blog\/wp-json\/wp\/v2\/posts\/26410","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/infina.vn\/blog\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/infina.vn\/blog\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/infina.vn\/blog\/wp-json\/wp\/v2\/users\/40"}],"replies":[{"embeddable":true,"href":"https:\/\/infina.vn\/blog\/wp-json\/wp\/v2\/comments?post=26410"}],"version-history":[{"count":0,"href":"https:\/\/infina.vn\/blog\/wp-json\/wp\/v2\/posts\/26410\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/infina.vn\/blog\/wp-json\/wp\/v2\/media\/26411"}],"wp:attachment":[{"href":"https:\/\/infina.vn\/blog\/wp-json\/wp\/v2\/media?parent=26410"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/infina.vn\/blog\/wp-json\/wp\/v2\/categories?post=26410"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/infina.vn\/blog\/wp-json\/wp\/v2\/tags?post=26410"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}