{"id":48201,"date":"2025-09-08T07:54:22","date_gmt":"2025-09-08T00:54:22","guid":{"rendered":"https:\/\/hbbgroup.net\/lien-tiep-cac-cong-ty-chung-khoan-bi-xu-phat-voi-hang-loat-loi-vi-pham\/"},"modified":"2025-09-08T07:54:22","modified_gmt":"2025-09-08T00:54:22","slug":"lien-tiep-cac-cong-ty-chung-khoan-bi-xu-phat-voi-hang-loat-loi-vi-pham","status":"publish","type":"post","link":"https:\/\/hbbgroup.net\/zh\/lien-tiep-cac-cong-ty-chung-khoan-bi-xu-phat-voi-hang-loat-loi-vi-pham\/","title":{"rendered":"Li\u00ean ti\u1ebfp c\u00e1c c\u00f4ng ty ch\u1ee9ng kho\u00e1n b\u1ecb x\u1eed ph\u1ea1t v\u1edbi h\u00e0ng lo\u1ea1t l\u1ed7i vi ph\u1ea1m"},"content":{"rendered":"
<\/figcaption>

Ng\u00e0y 5\/9, CTCP Ch\u1ee9ng kho\u00e1n KIS Vi\u1ec7t Nam (KIS) <\/b> c\u00f4ng b\u1ed1 nh\u1eadn \u0111\u01b0\u1ee3c quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh do li\u00ean quan \u0111\u1ebfn ho\u1ea1t \u0111\u1ed9ng cho vay k\u00fd qu\u1ef9. C\u1ee5 th\u1ec3, KIS b\u1ecb ph\u1ea1t s\u1ed1 ti\u1ec1n 137,5 tri\u1ec7u \u0111\u1ed3ng \u0111\u1ed1i v\u1edbi h\u00e0nh vi cho kh\u00e1ch h\u00e0ng th\u1ef1c hi\u1ec7n giao d\u1ecbch k\u00fd qu\u1ef9 v\u01b0\u1ee3t qu\u00e1 s\u1ee9c mua hi\u1ec7n c\u00f3 tr\u00ean t\u00e0i kho\u1ea3n giao d\u1ecbch k\u00fd qu\u1ef9 c\u1ee7a kh\u00e1ch h\u00e0ng. <\/p>\n

C\u00f9ng ng\u00e0y, \u1ee6y ban Ch\u1ee9ng kho\u00e1n Nh\u00e0 n\u01b0\u01a1c (UBCKNN) ban h\u00e0nh quy\u1ebft \u0111\u1ecbnh v\u1ec1 vi\u1ec7c x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh ch\u00ednh v\u1edbi CTCP Ch\u1ee9ng kho\u00e1n BIS <\/b> . Theo \u0111\u00f3, BIS b\u1ecb x\u1eed ph\u1ea1t 77,5 tri\u1ec7u \u0111\u1ed3ng <\/i> \u0111\u1ed1i v\u1edbi h\u00e0nh vi kh\u00f4ng \u0111\u1ea3m b\u1ea3o c\u01a1 c\u1ea5u nh\u00e2n s\u1ef1 t\u1ea1i b\u1ed9 ph\u1eadn ki\u1ec3m so\u00e1t n\u1ed9i b\u1ed9 \u0111\u00e1p \u1ee9ng \u0111i\u1ec1u ki\u1ec7n. C\u00f4ng ty \u0111\u00e3 b\u1ed1 tr\u00ed Tr\u01b0\u1edfng b\u1ed9 ph\u1eadn ki\u1ec3m so\u00e1t n\u1ed9i b\u1ed9 c\u00f3 tr\u00ecnh \u0111\u1ed9 chuy\u00ean m\u00f4n l\u00e0 C\u1eed nh\u00e2n kinh t\u1ebf, chuy\u00ean ng\u00e0nh kinh t\u1ebf \u0111\u1ed1i ngo\u1ea1i, trong th\u1eddi gian t\u1eeb 01\/01\/2023 \u0111\u1ebfn 14\/02\/2025, \u0111\u1ed3ng th\u1eddi ki\u00eam nhi\u1ec7m v\u1ecb tr\u00ed chuy\u00ean vi\u00ean t\u01b0 v\u1ea5n \u0111\u1ea7u t\u01b0 c\u1ee7a C\u00f4ng ty trong th\u1eddi gian t\u1eeb 01\/01\/2023 \u0111\u1ebfn 10\/11\/2024. <\/p>\n

CTCK n\u00e0y c\u0169ng b\u1ecb x\u1eed ph\u1ea1t 77,5 tri\u1ec7u \u0111\u1ed3ng <\/i> \u0111\u1ed1i v\u1edbi h\u00e0nh vi kh\u00f4ng c\u00f4ng b\u1ed1 \u0111\u1ed1i v\u1edbi th\u00f4ng tin ph\u1ea3i c\u00f4ng b\u1ed1 theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt. V\u00e0o 7\/8\/2024, H\u0110QT C\u00f4ng ty ban h\u00e0nh Ngh\u1ecb quy\u1ebft s\u1ed1 14\/2024\/ND-H\u0110QT th\u00f4ng qua ph\u01b0\u01a1ng \u00e1n s\u1eed d\u1ee5ng v\u1ed1n ng\u1eafn h\u1ea1n, bao g\u1ed3m vi\u1ec7c mua b\u00e1n ch\u1ee9ng ch\u1ec9 ti\u1ec1n g\u1eedi. <\/p>\n

Ng\u00e0y 12\/8\/2024, C\u00f4ng ty \u0111\u00e3 k\u00fd H\u1ee3p \u0111\u1ed3ng mua b\u00e1n ch\u1ee9ng ch\u1ec9 ti\u1ec1n g\u1eedi v\u1edbi Ng\u00e2n h\u00e0ng th\u01b0\u01a1ng m\u1ea1i c\u1ed5 ph\u1ea7n Vi\u1ec7t Nam Th\u01b0\u01a1ng T\u00edn (Vietbank) v\u1ec1 vi\u1ec7c mua ch\u1ee9ng ch\u1ec9 ti\u1ec1n g\u1eedi v\u1edbi m\u1ec7nh gi\u00e1 215 t\u1ef7 \u0111\u1ed3ng, chi\u1ebfm 55,3% tr\u00ean t\u1ed5ng t\u00e0i s\u1ea3n c\u1ee7a C\u00f4ng ty theo B\u00e1o c\u00e1o t\u00e0i ch\u00ednh b\u00e1n ni\u00ean n\u0103m 2024 \u0111\u01b0\u1ee3c so\u00e1t x\u00e9t (tr\u00ean 10% t\u1ed5ng t\u00e0i s\u1ea3n c\u1ee7a c\u00f4ng ty c\u0103n c\u1ee9 v\u00e0o b\u00e1o c\u00e1o t\u00e0i ch\u00ednh 06 th\u00e1ng g\u1ea7n nh\u1ea5t \u0111\u01b0\u1ee3c so\u00e1t x\u00e9t). Tuy nhi\u00ean, c\u00f4ng ty kh\u00f4ng th\u1ef1c hi\u1ec7n c\u00f4ng b\u1ed1 th\u00f4ng tin tr\u00ean trang th\u00f4ng tin \u0111i\u1ec7n t\u1eed c\u1ee7a C\u00f4ng ty, h\u1ec7 th\u1ed1ng c\u00f4ng b\u1ed1 th\u00f4ng tin c\u1ee7a UBCKNN trong v\u00f2ng 24 gi\u1edd k\u1ec3 t\u1eeb khi x\u1ea3y ra s\u1ef1 ki\u1ec7n n\u00eau tr\u00ean. <\/p>\n

Ch\u01b0a h\u1ebft, BIS c\u00f2n b\u1ecb ph\u1ea1t 150 tri\u1ec7u <\/i> v\u1edbi h\u00e0nh vi B\u00e1o c\u00e1o c\u00f3 n\u1ed9i dung sai l\u1ec7ch, c\u00f4ng ty \u0111\u00e3 b\u00e1o c\u00e1o kh\u00f4ng ch\u00ednh x\u00e1c v\u1ec1 t\u1ef7 l\u1ec7 an to\u00e0n t\u00e0i ch\u00ednh t\u1ea1i c\u00e1c th\u1eddi \u0111i\u1ec3m 31\/8\/2024, 30\/9\/2024, 31\/10\/2024 v\u00e0 30\/11\/2024. <\/p>\n

Cu\u1ed1i c\u00f9ng, BIS b\u1ecb ph\u1ea1t ti\u1ec1n 175 tri\u1ec7u \u0111\u1ed3ng <\/i> \u0111\u1ed1i v\u1edbi h\u00e0nh vi kh\u00f4ng th\u1ef1c hi\u1ec7n qu\u1ea3n l\u00fd t\u00e1ch bi\u1ec7t t\u00e0i s\u1ea3n c\u1ee7a t\u1eebng kh\u00e1ch h\u00e0ng. T\u00ednh \u0111\u1ebfn ng\u00e0y 29\/7\/2025, C\u00f4ng ty kh\u00f4ng qu\u1ea3n l\u00fd t\u00e1ch bi\u1ec7t \u0111\u01b0\u1ee3c d\u1eef li\u1ec7u v\u1ec1 s\u1ed1 d\u01b0 ti\u1ec1n v\u00e0 ch\u1ee9ng kho\u00e1n tr\u00ean t\u1eebng t\u00e0i kho\u1ea3n c\u1ee7a kh\u00e1ch h\u00e0ng. <\/p>\n

T\u1ed5ng c\u1ed9ng, Ch\u1ee9ng kho\u00e1n BIS b\u1ecb x\u1eed ph\u1ea1t 480 tri\u1ec7u \u0111\u1ed3ng <\/b> <\/i> \ufeff.\u00a0V\u1ec1 bi\u1ec7n ph\u00e1p kh\u1eafc ph\u1ee5c h\u1eadu qu\u1ea3, c\u00f4ng ty b\u1ecb bu\u1ed9c b\u00e1o c\u00e1o th\u00f4ng tin ch\u00ednh x\u00e1c \u0111\u1ed1i v\u1edbi h\u00e0nh vi vi ph\u1ea1m b\u00e1o c\u00e1o c\u00f3 n\u1ed9i dung sai l\u1ec7ch, theo quy \u0111\u1ecbnh t\u1ea1i kho\u1ea3n 4 \u0110i\u1ec1u 43 Ngh\u1ecb \u0111\u1ecbnh 156\/2020\/N\u0110-CP \u0111\u01b0\u1ee3c s\u1eeda \u0111\u1ed5i, b\u1ed5 sung t\u1ea1i \u0111i\u1ec3m c kho\u1ea3n 34 \u0110i\u1ec1u 1 Ngh\u1ecb \u0111\u1ecbnh 128\/2021\/N\u0110-CP. <\/p>\n

C\u0169ng trong ng\u00e0y 5\/9, m\u1ed9t c\u00f4ng ty ch\u1ee9ng kho\u00e1n kh\u00e1c l\u00e0 CTCP Ch\u1ee9ng kho\u00e1n ASAM <\/b> b\u1ecb UBCKNN th\u00f4ng b\u00e1o x\u1eed ph\u1ea1t. T\u1ed5ng m\u1ee9c ph\u1ea1t ti\u1ec1n l\u00e0 320 tri\u1ec7u \u0111\u1ed3ng <\/b> <\/i> . <\/p>\n

C\u1ee5 th\u1ec3, ASAM b\u1ecb ph\u1ea1t 175 tri\u1ec7u \u0111\u1ed3ng <\/i> do c\u00f3 h\u00e0nh vi kh\u00f4ng th\u1ef1c hi\u1ec7n qu\u1ea3n l\u00fd t\u00e1ch bi\u1ec7t t\u00e0i s\u1ea3n c\u1ee7a kh\u00e1ch h\u00e0ng v\u1edbi t\u00e0i s\u1ea3n c\u1ee7a c\u00f4ng ty ch\u1ee9ng kho\u00e1n. <\/p>\n

Th\u00eam n\u1eefa, CTCK n\u00e0y b\u1ecb x\u1eed ph\u1ea1t 85 tri\u1ec7u \u0111\u1ed3ng <\/i> do kh\u00f4ng b\u00e1o c\u00e1o \u0111\u1ed1i v\u1edbi th\u00f4ng tin ph\u1ea3i b\u00e1o c\u00e1o theo quy \u0111\u1ecbnh ph\u00e1p lu\u1eadt v\u1edbi b\u00e1o c\u00e1o ki\u1ec3m to\u00e1n n\u1ed9i b\u1ed9 v\u1ec1 ph\u00f2ng, ch\u1ed1ng r\u1eeda ti\u1ec1n t\u1ea1i C\u00f4ng ty n\u0103m 2023 \u0111\u1ebfn C\u1ee5c Ph\u00f2ng, ch\u1ed1ng r\u1eeda ti\u1ec1n; kh\u00f4ng g\u1eedi B\u00e1o c\u00e1o \u0111\u00e1nh gi\u00e1, c\u1eadp nh\u1eadt r\u1ee7i ro v\u1ec1 r\u1eeda ti\u1ec1n n\u0103m 2023 v\u00e0 2024 \u0111\u1ebfn UBCKNN. <\/p>\n

M\u1eb7t kh\u00e1c, ASAM c\u0169ng b\u1ecb ph\u1ea1t 60 tri\u1ec7u \u0111\u1ed3ng <\/i> do kh\u00f4ng tu\u00e2n th\u1ee7 quy \u0111\u1ecbnh c\u1ee7a ph\u00e1p lu\u1eadt ch\u1ee9ng kho\u00e1n, ph\u00e1p lu\u1eadt doanh nghi\u1ec7p v\u1ec1 qu\u1ea3n tr\u1ecb, \u0111i\u1ec1u h\u00e0nh \u0111\u1ed1i v\u1edbi c\u00f4ng ty ch\u1ee9ng kho\u00e1n kh\u00f4ng ph\u1ea3i l\u00e0 c\u00f4ng ty \u0111\u1ea1i ch\u00fang. B\u1edfi c\u00f4ng ty th\u1ef1c hi\u1ec7n giao d\u1ecbch gi\u1eefa c\u00f4ng ty v\u1edbi c\u1ed5 \u0111\u00f4ng s\u1edf h\u1eefu tr\u00ean 10% t\u1ed5ng s\u1ed1 c\u1ed5 ph\u1ea7n m\u00e0 ch\u01b0a \u0111\u01b0\u1ee3c \u0110H\u0110C\u0110\/H\u0110QT ch\u1ea5p thu\u1eadn. <\/p>\n<\/p><\/div>","protected":false},"excerpt":{"rendered":"

Ng\u00e0y 5\/9, CTCP Ch\u1ee9ng kho\u00e1n KIS Vi\u1ec7t Nam (KIS) c\u00f4ng b\u1ed1 nh\u1eadn \u0111\u01b0\u1ee3c quy\u1ebft \u0111\u1ecbnh x\u1eed ph\u1ea1t vi ph\u1ea1m h\u00e0nh […]<\/p>","protected":false},"author":1,"featured_media":48202,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_acf_changed":false,"footnotes":""},"categories":[221],"tags":[],"class_list":["post-48201","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-chung-khoan"],"acf":[],"_links":{"self":[{"href":"https:\/\/hbbgroup.net\/zh\/wp-json\/wp\/v2\/posts\/48201","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/hbbgroup.net\/zh\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/hbbgroup.net\/zh\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/hbbgroup.net\/zh\/wp-json\/wp\/v2\/users\/1"}],"replies":[{"embeddable":true,"href":"https:\/\/hbbgroup.net\/zh\/wp-json\/wp\/v2\/comments?post=48201"}],"version-history":[{"count":0,"href":"https:\/\/hbbgroup.net\/zh\/wp-json\/wp\/v2\/posts\/48201\/revisions"}],"wp:featuredmedia":[{"embeddable":true,"href":"https:\/\/hbbgroup.net\/zh\/wp-json\/wp\/v2\/media\/48202"}],"wp:attachment":[{"href":"https:\/\/hbbgroup.net\/zh\/wp-json\/wp\/v2\/media?parent=48201"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/hbbgroup.net\/zh\/wp-json\/wp\/v2\/categories?post=48201"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/hbbgroup.net\/zh\/wp-json\/wp\/v2\/tags?post=48201"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}