76

CNG BO/S 503 + 504/Ngy 17-9-2011

NGN HNG NH NC
VIT NAM
_________

CNG HA X HI CH NGHA VIT NAM

c lp - T do - Hnh phc
______________________________________

S: 26/2011/TT-NHNN

H Ni, ngy 31 thng 8 nm 2011

THNG T
V vic thc thi phng n n gin ha th tc hnh chnh lnh vc
hot ng tin t theo cc Ngh quyt ca Chnh ph v
n gin ha th tc hnh chnh thuc phm vi chc nng
qun l ca Ngn hng Nh nc Vit Nam
__________

Cn c Lut Ngn hng Nh nc Vit Nam s 46/2010/QH12 ngy 16 thng 6

nm 2010;
Cn c Lut Cc t chc tn dng s 47/2010/QH12 ngy 16 thng 6 nm 2010;
Cn c Ngh nh s 96/2008/N-CP ngy 26 thng 8 nm 2008 ca Chnh ph
quy nh chc nng, nhim v, quyn hn v c cu t chc ca Ngn hng Nh nc
Vit Nam;
Cn c Ngh quyt s 60/NQ-CP ngy 17 thng 12 nm 2010 ca Chnh ph v
vic n gin ha th tc hnh chnh thuc phm vi chc nng qun l ca Ngn hng
Nh nc Vit Nam;
Cn c Ngh quyt s 64/NQ-CP ngy 21 thng 12 nm 2010 ca Chnh ph v
vic n gin ha th tc hnh chnh thuc phm vi chc nng qun l ca Ngn hng
Chnh sch x hi,
Ngn hng Nh nc Vit Nam (sau y gi tt l Ngn hng Nh nc) sa i,
b sung, thay th hoc bi b, hu b cc quy nh ti cc vn bn do Ngn hng Nh
nc ban hnh thc thi phng n n gin ha th tc hnh chnh lnh vc hot
ng tin t nh sau:
iu 1. Sa i, b sung mt s iu ca Quy ch chit khu, ti chit khu ca
Ngn hng Nh nc i vi cc ngn hng ban hnh km theo Quyt nh s
898/2003/Q-NHNN ngy 12 thng 8 nm 2003 ca Thng c Ngn hng Nh nc
thc thi phng n n gin ha ti khon 1, 2 Mc I Phn A Ngh quyt 60/NQ-CP
nh sau:
1. Sa i, b sung iu 10 nh sau:
iu 10. Th tc thc hin nghip v chit khu
1. Cc ngn hng (tr s chnh) c nhu cu chit khu giy t c gi gi giy
ngh chit khu (theo Mu s 01) cho Ngn hng Nh nc (S Giao dch hoc

CNG BO/S 503 + 504/Ngy 17-9-2011

77

cc chi nhnh Ngn hng Nh nc c u quyn) vo trc 15 gi cc ngy

giao dch.
Trng hp thc hin chit khu theo phng thc gin tip, cc ngn hng
gi giy ng k tham gia nghip v chit khu (theo mu ti Ph lc s 01a.GH
km theo Thng t ny) qua ng bu in hoc np trc tip ti Ngn hng Nh
nc (S Giao dch v Cc Cng ngh tin hc) lm cn c cp m kho truy
cp, m ch k in t v phn quyn trong giao dch.
Khi c s thay i cn b tham gia nghip v chit khu, chm nht sau 03
ngy lm vic, k t ngy quyt nh thay th cn b ca ngn hng c hiu lc v
trc 10 ngy k t ngy cn b s tham gia giao dch, ngn hng phi lp v gi
giy ngh cp mi m kho truy cp ch k in t (theo mu ti Ph lc s
01b.GH km theo Thng t ny) qua ng bu in hoc np trc tip ti
Ngn hng Nh nc (S Giao dch v Cc Cng ngh tin hc) c cp m
kho truy cp, m ch k in t v thc hin phn quyn giao dch. i vi
trng hp thu hi m kho truy cp, m ch k in t, ngn hng phi gi giy
ngh ngay cho Ngn hng Nh nc (S Giao dch v Cc Cng ngh tin hc)
qua Fax, np trc tip hoc thng bo qua in thoi m bo an ton trong
giao dch.
Trong vng 02 ngy lm vic tip theo, k t ngy nhn h s theo quy
nh, Ngn hng Nh nc (S Giao dch v Cc Cng ngh tin hc) thc hin
vic cp mi m kho truy cp, m ch k in t cho cc chc danh tham gia
nghip v chit khu ca t chc tn dng. Trng hp thu hi m kho truy cp,
m ch k in t Ngn hng Nh nc s thc hin thu hi ngay sau khi nhn
c ngh ca ngn hng.
2. Cn c vo giy ngh chit khu v hn mc chit khu cha s dng
ca ngn hng, chm nht sau 02 ngy lm vic k t khi nhn c giy ngh
chit khu ca ngn hng, Ngn hng Nh nc xem xt quyt nh v thng bo
chp nhn (theo Mu s 02) hoc thng bo khng chp nhn (theo Mu s 03).
3. Trng hp ti thi im thng bo hn mc chit khu, s d chit khu
ca ngn hng ti Ngn hng Nh nc ln hn hn mc chit khu c thng
bo, cc khon chit khu c k hn thc hin trc vn c thc hin theo
cam kt. Ngn hng Nh nc ch tip tc thc hin vic chit khu cho ngn hng
khi s d chit khu nh hn hn mc chit khu c thng bo ca ngn hng..
2. B sung Quy ch chit khu, ti chit khu ca Ngn hng Nh nc i
vi cc ngn hng ban hnh km theo Quyt nh s 898/2003/Q-NHNN ngy
12 thng 8 nm 2003 ca Thng c Ngn hng Nh nc Ph lc s 01a.GH v
01b.GH km theo Thng t ny.
iu 2. Sa i, b sung mt s iu ca Quyt nh s 27/2008/Q-NHNN
ngy 30 thng 9 nm 2008 ca Thng c Ngn hng Nh nc v vic sa i, b
sung mt s iu ca Quy ch nghip v th trng m ban hnh km theo Quyt nh
s 01/2007/Q-NHNN ngy 05 thng 01 nm 2007 ca Thng c Ngn hng Nh

78

CNG BO/S 503 + 504/Ngy 17-9-2011

nc thc thi phng n n gin ha ti khon 3 Mc I Phn A Ngh quyt 60/NQCP nh sau:
1. Khon 2 iu 1 c sa i, b sung nh sau:
iu 5. Cng nhn thnh vin tham gia nghip v th trng m
1. Cc t chc tn dng c cng nhn l thnh vin tham gia nghip v th
trng m khi c cc iu kin sau y:
1.1. C ti khon tin gi ti Ngn hng Nh nc (S Giao dch Ngn hng
Nh nc hoc chi nhnh Ngn hng Nh nc tnh, thnh ph);
1.2. C cc phng tin cn thit tham gia nghip v th trng m
gm: my FAX, my vi tnh ni mng internet;
1.3. C giy ng k tham gia nghip v th trng m (theo Ph lc s
01/TTM ca Quy ch ny);
2. Th tc cng nhn thnh vin tham gia nghip v th trng m:
2.1. Cc t chc tn dng c cc iu kin theo quy nh Khon 1 iu ny lp
v gi Giy ng k tham gia nghip v th trng m (theo Ph lc 02a.GH nh
km Thng t ny) qua ng bu in hoc gi trc tip n Ngn hng Nh nc
(S Giao dch) c cp giy cng nhn thnh vin nghip v th trng m.
Chm nht sau 03 ngy lm vic k t khi nhn c Giy ng k tham gia
nghip v th trng m hp l ca t chc tn dng, Ngn hng Nh nc (S Giao
dch v Cc Cng ngh tin hc) thc hin vic cp giy Giy cng nhn thnh vin
tham gia th trng m v m s thnh vin, m s giao dch, m kha ch k in t
v phn quyn cho t chc tn dng giao dch qua mng ca Ngn hng Nh nc.
2.2. Trng hp c s thay i v nhn s tham gia giao dch nghip v th
trng m vi Ngn hng Nh nc, t chc tn dng gi Giy ngh cp mi m
kho truy cp, ch k in t tham gia nghip v th trng m qua ng bu in
hoc gi trc tip n Ngn hng Nh nc (S Giao dch v Cc Cng ngh tin hc)
(theo Ph lc 02b.GH nh km Thng t ny) thc hin cc th tc cp mi
quyn giao dch, m kha truy cp v m ch k in t theo quy nh. i vi trng
hp thu hi m kho truy cp, m ch k in t t chc tn dng phi gi giy ngh
ngay cho Ngn hng Nh nc (S Giao dch v Cc Cng ngh tin hc) qua Fax, gi
trc tip hoc thng bo qua in thoi m bo an ton trong giao dch.
Chm nht sau 03 ngy lm vic, k t ngy nhn c Giy ngh cp mi v
thu hi m kho truy cp, ch k in t, Ngn hng Nh nc (S Giao dch v Cc
Cng ngh tin hc) thc hin vic cp mi quyn giao dch, m s kho v m s ch
k in t theo quy nh. Trng hp thu hi m kho truy cp, m ch k in t,
Ngn hng Nh nc s hu quyn giao dch v thu hi m kho truy cp, m ch k
in t, ngay sau khi nhn c ngh ca t chc tn dng.
3. Giy cng nhn l thnh vin tham gia nghip v th trng m t ng
chm dt hiu lc trong trng hp cc c quan Nh nc c thm quyn c vn

CNG BO/S 503 + 504/Ngy 17-9-2011

79

bn v vic t chc tn dng b t chc li, gii th, ph sn hoc trong trng hp
c thng bo ca Ngn hng Nh nc v vic t chc tn dng khng p ng
iu kin quy nh ti khon 1 iu ny.
4. T chc tn dng gi li giy ng k tham gia nghip v th trng m theo
Ph lc 02a.GH n Ngn hng Nh nc (S Giao dch) trong trng hp t chc
tn dng c t chc li hoc trng hp p ng iu kin c cp li
giy cng nhn l thnh vin tham gia nghip v th trng m..
2. Ph lc 02a.GH, 02b.GH nh km Thng t ny thay th Ph lc
01/TTM nh km Quy ch nghip v th trng m ban hnh km theo Quyt
nh s 01/2007/Q-NHNN ngy 05 thng 01 nm 2007 ca Thng c Ngn
hng Nh nc.
iu 3. Bi b im b khon 1 iu 8 Quy ch u thu tri phiu Chnh ph ti
Ngn hng Nh nc ban hnh km theo Quyt nh s 935/2004/Q-NHNN ngy 23
thng 7 nm 2004 ca Ngn hng Nh nc thc thi phng n n gin ha ti
khon 4 Mc I Phn A Ngh quyt 60/NQ-CP.
iu 4. Sa i, b sung im b khon 1 iu 4 Thng t s 06/2009/TT-NHNN
ngy 09 thng 4 nm 2009 ca Ngn hng Nh nc quy nh chi tit v chnh sch
cho vay u i li sut theo Chng trnh h tr cc huyn ngho ti Ngh quyt s
30a/2008/NQ-CP ngy 27 thng 12 nm 2008 ca Chnh ph thc thi phng n
n gin ha ti im c khon 7 phn I Ngh quyt 64/NQ-CP nh sau:
b. Ch h hoc ngi c u quyn l ngi i din cho h gia nh trong
quan h tn dng vi ngn hng.
iu 5. Sa i, b sung khon 5 iu 1 Thng t s 16/2009/TT-NHNN ngy
11 thng 8 nm 2009 ca Ngn hng Nh nc v vic sa i, b sung mt s iu
ca Quy ch pht hnh giy t c gi trong nc ca t chc tn dng ban hnh km
theo Quyt nh s 07/2008/Q-NHNN ngy 24 thng 3 nm 2008 ca Thng c
Ngn hng Nh nc thc thi phng n n gin ha ti khon 84 Mc III Phn A
ca Ngh quyt 60/NQ-CP nh sau:
5. Khon 1 iu 40 c sa i, b sung nh sau:
1. Gi 01 b h s ngh pht hnh giy t c gi di hn; H s ngh xem
xt b sung k hoch pht hnh giy t c gi di hn ca nm ti chnh; H s ngh
pht hnh tri phiu chuyn i, tri phiu km chng quyn; Thng bo pht hnh
giy t c gi tng t qua ng bu in hoc np trc tip n Ngn hng Nh
nc (V Chnh sch tin t); Nu phng n tng vn iu l t ngun pht hnh tri
phiu chuyn i, tri phiu km chng quyn c i hi ng c ng thng
qua c thay i, t chc tn dng phi bo co Ngn hng Nh nc (C quan Thanh
tra, gim st ngn hng) Thng c Ngn hng Nh nc xem xt chp thun..
iu 6. iu khon thi hnh
Thng t ny c hiu lc thi hnh k t ngy 14 thng 10 nm 2011.

80

CNG BO/S 503 + 504/Ngy 17-9-2011

iu 7. T chc thc hin

Chnh Vn phng, Th trng cc n v c lin quan thuc Ngn hng Nh
nc, Gim c Ngn hng Nh nc chi nhnh cc tnh, thnh ph trc thuc trung
ng v Ch tch Hi ng qun tr (Hi ng thnh vin), Tng Gim c (Gim c)
cc t chc tn dng v cc t chc, c nhn khc c lin quan c trch nhim thi hnh
Thng t ny./.
THNG C

Nguyn Vn Bnh

CNG BO/S 503 + 504/Ngy 17-9-2011

81

Ph lc s 01a.GH
TN T CHC TN DNG

CNG HA X HI CH NGHA VIT NAM

c lp T do Hnh phc

S : .

.. , ngy

thng

nm

GIY NG K
THAM GIA NGHIP V CHIT KHU
Knh gi:
- S Giao dch;
- Cc Cng ngh tin hc.
Tn n v: ..
a ch:
in thoi: . Telex:.. Fax:
Ti khon tin gi ng Vit Nam:. Ti ngn hng: .
Chng ti xin tham gia nghip v chit khu v gii thiu danh sch cn b c
thm quyn, kim sot v cc giao dch vin c quyn tham gia giao dch nghip
v chit khu vi NHNN nh sau:
H v tn
1.Cn b c thm quyn k duyt

2. Cn b kim sot

3. Cn b giao dch

Chc danh

Ch k 1

Ch k 2

Ghi ch:
- Ngi c thm quyn k duyt chng t phi l ngi i din hp php ca
ngn hng trc php lut;
- S in thoi, Fax ca b phn thc hin nghip v chit khu.
Ni nhn:
- Nh trn;
- Lu ..

TNG GIM C
(K tn, ng du)

82

CNG BO/S 503 + 504/Ngy 17-9-2011

Ph lc s 01b.GH
TN T CHC TN DNG

S: .

CNG HA X HI CH NGHA VIT NAM

c lp - T do - Hnh phc
., ngy

thng

nm

GIY NGH
Cp mi (thu hi) m kha truy cp
ch k in t tham gia nghip v chit khu
Knh gi:
- S Giao dch;
- Cc Cng ngh tin hc.
Tn n v: ..
a ch: .
in thoi: Telex: . Fax: ..
Ti khon tin gi ng Vit Nam: . Ti ngn hng: .
Chng ti ngh NHNN cp mi v thu hi m kho truy cp, m ch k in t
theo quy nh ca NHNN cho nhng cn b c tn theo danh sch sau:
I. Cp mi: i vi nhng ngi mi c phn cng m nhim
H v tn
1. Cn b c thm quyn

2. Cn b kim sot

3. Cn b giao dch
.

Chc danh

Ch k 1

Ch k 2

II. Thu hi: i vi ngi min nhim, khng cn gii thiu ch k

1. Cn b c thm quyn:
2. Cn b kim sot:
3. Cn b giao dch:
Ghi ch: Trng hp cp mi ngh ngn hng lm cng vn c cn b tham gia
giao dch trc 10 ngy k t ngy cn b s tham gia giao dch; Hu b th ngn
hng phi thng bo ngay m bo an ton trong giao dch.
Ni nhn:
- Nh trn;
- Lu

TNG GIM C
(K tn, ng du)

CNG BO/S 503 + 504/Ngy 17-9-2011

83

Ph lc s 02a.GH
TN T CHC TN DNG

CNG HA X HI CH NGHA VIT NAM

c lp -T do-Hnh phc

S:..

........... ngy..... thng...... nm........

GIY NG K
THAM GIA NGHIP V TH TRNG M

Knh gi: Ngn hng Nh nc Vit Nam

(S Giao dch)

Tn t chc tn dng:
a ch: ..
in thoi: Fax:
SWIFT CODE : ..
Ti khon tin gi VND: ti .
Xin ng k tham gia thc hin nghip v th trng m ti Ngn hng Nh
nc v cam kt chp hnh y cc quy nh ti Quy ch nghip v th trng
m.
Chng ti xin gii thiu ch k v xin cp kho k ch k in t cho
nhng ngi c tn sau y tham gia nghip v th trng m:
Chc v

Ch k 1

Ch k 2

Ngi c thm quyn:

- Ngi th nht:
- Ngi th hai :
Ngi kim sot:
- Ngi th nht:
- Ngi th hai:
Ngi giao dch (ngi lp biu):
- Ngi th nht:
- Ngi th hai:
TNG GIM C (GIM C)
(K tn, ng du)

84

CNG BO/S 503 + 504/Ngy 17-9-2011

Ph lc s 02b.GH
TN T CHC TN DNG
S : .

CNG HA X HI CH NGHA VIT NAM

c lp T do Hnh phc
, ngy
thng

nm

GIY NGH
Cp mi v thu hi m kha truy cp,
ch k in t tham gia nghip v th trng m
Knh gi :
- S Giao dch NHNN;
- Cc Cng ngh tin hc.
Tn T chc tn dng: .
a ch: ....
in thoi: . Fax: ...
SWIFT CODE: ....
Ti khon tin gi VN: . Ti: ...
Chng ti ngh Ngn hng Nh nc cp mi v thu hi m kha truy
cp, m ch k in t theo quy nh cho nhng cn b c tn theo danh sch di
y:
I. Cp mi: (i vi nhng cn b mi)
H v tn
1. Cn b k duyt

2. Cn b kim sot

3. Cn b giao dch (Ngi lp biu)

Chc v

Ch k 1

Ch k 2

II. Thu hi (Khng cn gii thiu ch k):

1. Cn b c thm quyn:
2. Cn b kim sot:
3. Cn b giao dch:
Ghi ch:
- Ngi k duyt phi l ngi i din hoc c y quyn i din hp php ca T chc tn
dng trc php lut;
- S in thoi, Fax ca b phn trc tip thc hin nghip v th trng m.
Ni nhn:
- Nh trn;
- Lu

TNG GIM C
(K tn, ng du)