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GIAO D CH CH NG KHON (STOCK EXCHANGE)

1. T ng quan v s giao d ch ch ng khon 2. Ho t ng giao d ch ch ng khon t i SGDCK 3. M t s tr ng h p giao d ch c bi t

1. T ng quan v SGDCK

1.1. Khi ni m 1.2. c i m 1.3. Hnh th c s h u c a SGDCK 1.4. M hnh t ch c 1.5. Thnh vin c a SGDCK 1.6. Nim y t ch ng khon

1.1. Khi ni m

SGDCK l th tr ng trong vi c giao d ch mua bn CK c th c hi n t i m t a i m t p trung g i l sn giao d ch.


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1.2. c i m:
Hng ha Phng th c giao d ch Ho t ng trn sn giao d ch t p trung

1.3. Hnh th c s h u c a SGD


Hnh th c s h u Hnh th c s h u Nh n c thnh vin

Hnh th c s h u CTCP
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1.4. M hnh t ch c:

i h i c ng H i ng qu n tr Ban gim c Cc phng ch c nng

P. Nim y t

P. Giao d ch

P. Gim st

P. Nghin c u pht tri n

P. KTKT

P. Cng ngh tin h c

Vn phng

1.5. Thnh vin SGDCK


Thnh vin SGDCK l cc CTCK c UBCK c p gi y php ho t ng v c SGDCK ch p nh n l thnh vin c a SGDCK.

1.6. Nim y t ch ng khon

Cc tiu chu n nim y t Th t c nim y t Cc hnh th c nim y t

Cc tiu chu n nim y t


Tiu chu n nh l ng: a.Quy m c a cng ty b. L i su t ch ng khon c. T l n d. S phn b c ng Tiu chu n nh tnh: kh nng chuy n nh ng CP nu trong i u l cng ty v ki n c a ki m ton vin v BCTC trong 3 nm g n nh t.
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i u ki n nim y t c phi u t i HOSE


- CTCP c VL 80 t VND (gi tr ghi trn s k ton) - 2 nm li n tr c ph i c li - Khng c l lu k - Khng c n qu h n cha c d phng - 20% CP c quy n bi u quy t do 100 c ng n m gi ; - C ng l thnh vin HQT, Ban KS, G/TG, PG/Ph TG, KT tr ng cam k t n m gi 100% s CP trong 6 thng k t ngy nim y t v 50% s CP ny trong 6 thng ti p theo (khng tnh CP thu c s h u NN do h i di n n m gi ) - H s ng k nim y t h p l theo quy nh.
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i u ki n nim y t c phi u t i HASTC


- CTCP c VL 10 t VND (gi tr ghi trn s k ton) - Nm li n tr c ph i c li - Khng c n qu h n trn 1 nm v hon thnh cc ngha v ti chnh v i NN - 100 c ng n m gi CP c quy n bi u quy t - C ng l thnh vin HQT, Ban KS, G/TG, PG/Ph TG, KT tr ng cam k t n m gi 100% s CP trong 6 thng k t ngy nim y t v 50% s CP ny trong 6 thng ti p theo (khng tnh CP thu c s h u NN do h i di n n m gi ) - H s ng k nim y t h p l
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Th t c nim y t
- SGDCK xem xt s b . - Cng ty xin nim y t n p h s cho UBCK xin php pht hnh CK ra cng chng (IPO) - UBCKNN c p gi y php pht hnh. - T ch c pht hnh CK - Xin php nim y t - SGDCK th m tra chnh th c trnh HQT ch p thu n cho nim y t. - Lm th t c ng k chnh th c nim y t.
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Cc hnh th c nim y t

Nim y t l n u ng k thay i nim y t Nim y t l i ng k nim y t b sung Nim y t ton ph n v nim y t t ng ph n

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2. Ho t ng giao d ch t i SGDCK

2.1. K thu t giao d ch 2.2. Quy trnh giao d ch 2.3. Phng th c giao d ch 2.4. t l nh v lo i l nh 2.5. Cc nguyn t c u tin trong vi c so kh p l nh
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2.1. K thu t giao d ch


H th ng giao d ch bn t ng H th ng

H th ng giao d ch th cng
Mi gi i hoa h ng Mi gi i 2 dollar
Ng i KD c ng k Chuyn gia

giao d ch t ng

hon ton

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2.2. Quy trnh giao d ch

Quy trnh giao d ch M ti kho n Lo i ti kho n

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Quy trnh giao d ch:


(8) Thng bo KQGD Khch hng (1) M TK (2) t l nh (3) R sot phi u l nh (6) So kh p l nh, u gi hay u l nh (7) Thng bo KQ mua bn CTCK (NHTM) (9) KQGD TT QL CK v thanh ton b tr

(4) Chuy n l nh

(5) ng k l nh

Nh MG t i sn

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Lo i ti kho n

Ti kho n lu k Ti kho n k qu Ti kho n y thc

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Giao d ch u gi

2.3. Phng th c giao d ch

Kh p l nh nh k Giao d ch u l nh Kh p l nh lin t c

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2.4. t l nh v lo i l nh

t l nh:
t l nh tr c ti p t i phng l nh c a CTCK. t l nh qua i n tho i. t l nh qua m ng vi tnh n i m ng tr c ti p v i phng l nh c a CTCK
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Lo i l nh

L nh c b n nh chu n l nh

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L nh gi i h n (Limit order)

L nh th tr ng (Market order) L nh ATO (At the open)

L nh ATC (At the close)

L nh c b n

L nh d ng gi i h n (Stop limit order)

L nh d ng (Stop order)
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nh chu n l nh
Quy nh cc i u ki n km theo l nh c b n. - L nh c gi tr trong ngy - L nh c gi tr cho n khi b h y - L nh th c hi n ngay ho c h y b - L nh th c hi n ton b ho c khng - L nh khng quy trch nhi m
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2.5. Cc nguyn t c u tin trong vi c so kh p l nh u tin v gi u tin v th i gian. u tin v khch hng. u tin v kh i l ng u tin ng u nhin
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3. M t s tr ng h p giao d ch c bi t

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C phi u m i nim y t Tch, g p c phi u Giao d ch kh i (giao d ch l l n) Giao d ch l l Giao d ch khng c h ng c t c, quy n
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