Chng 1:

CC PHNG THC GIAO DCH

TRN TH TRNG TH GII
CN. NGUYN CNG KHOA KT&KDQT
Study_beatlesandyou@yahoo.com
0989 148 784

TI LIU THAM KHO

Gio trnh Giao dch thng mi quc t, NXB
Gio dc 2007
Lut Thng mi 2005
B Lut Dn s 2005
Lut u thu 2005
Cc vn bn php lut hng dn thi hnh
Lut
Cng c Lin hp quc v Hp ng mua
bn hng ha quc t - Cng c Vin 1980.

I. PHNG THC GIAO DCH THNG THNG

c trng
Thc hin trn nguyn tc t nguyn, t do
ng tin thanh ton c th l ngoi t ca t
nht 1 bn
Ch th c tr s thng mi cc quc gia
khc nhau
Hng ha di chuyn qua bin gii/ bin gii hi
quan quc gia

1. Phng thc giao dch trc tip

1.1. Hi gi
Xt v mt php l: Li thnh cu bc vo giao
dch ca bn Mua
Xt v mt thng mi: Bn mua ngh bn
bn bo cho mnh bit gi c ca hng ha v
cc iu kin mua hng.
1.2. Cho hng
a. Khi nim:
Cho hng l li ngh k kt hp ng xut
pht t bn bn

b. Hnh thc: Vn bn, li ni, hnh vi c th

c. Phn loi
c.1.CHO HNG C NH
Xc nh y cc yu t cn thit ca hp ng
Th hin ch ca bn cho mun c rng buc
v hp ng
c.2. CHO HNG T DO
Li ngh gi cho nhiu ngi.
Khng rng buc trch nhim ca bn cho hng.
Th hin trn b mt l cho hng t do

c.3. PHN BIT CHO HNG C NH V

CHO HNG T DO
Tiu cho hng
Ni dung
C s vit th
Bn nhn cho hng
Thi hn hiu lc cho hng

d. iu kin hiu lc ca cho hng

Bn c cho nhn c cho hng
Cho hng hp php: Ch th, ni dung,
hnh thc, i tng

e. Thu hi, hy b cho hng

Cho hng s mt hiu lc khi ngi c
cho hng nhn c thng bo v vic hy
cho hng trc hoc cng thi im nhn
c cho hng.
Cho hng c nh khng th hy b
n nh thi gian tr li
n nh khng th hy ngang
Bn c cho hnh ng trn c s tin
tng cho hng l khng th hy ngang.

1.3. t hng
CH c nh xut pht t pha ngi mua

1.4. Hon gi
Hon gi l s mc c v gi c v cc iu
kin giao dch. Hon gi bao gm nhiu s
tr gi.

1.5. Chp nhn cho hng

a. Khi nim
L s ng cc ni dung ca cho hng m pha bn kia
a ra, th hin ch ng tnh ca pha bn kia k kt
hp ng.
Hnh thc chp nhn
Chp nhn v iu kin
Chp nhn c bo lu
Thay i ni dung ch yu ca cho hng
Khng thay i ni dung ch yu ca cho hng
b. Tnh hiu lc ca chp nhn cho hng
Ngi nhn gi cui cng chp nhn
Chp nhn khng c s ph thuc vo mt vi bc tip
theo m cc bn thc hin

Chp nhn trong thi hn hiu lc ca cho hng

Chp nhn phi c truyn t n ngi pht
ra ngh
Chp nhn cho hng c hiu lc th Hp ng
c k kt.
c. Hnh thc: Li ni, hnh vi hoc vn bn.
d. Chp nhn cho hng v hiu
Thng bo hy cho hng n bn c cho trc
hoc cng lc chp nhn cho hng c hiu lc.
1.6. Xc nhn mua bn hng

2. Phng thc giao dch qua trung gian

2.1. Khi nim
L phng thc thit lp mi quan h gia ngi
bn v ngi mua thng qua ngi th ba l Trung
gian thng mi.
Lut TM 2005, 3:
Cc hot ng trung gian thng mi l hot ng
ca thng nhn thc hin cc giao dch
thng mi cho mt hoc mt s thng nhn
c xc nh, bao gm hot ng i din cho
thng nhn, mi gii thng mi, y thc mua
bn hng ha v i l thng mi.

2.2. c im
TGTM l cu ni gia sn xut v tiu dng, ngi bn v ngi
mua
Trung gian thng mi hnh ng theo s u thc
Tnh cht ph thuc
Li nhun chia s
u im
y mnh hot ng bun bn v trnh ri ro ti nhng th trng
mi
Tit kim c chi ph u t trc tip
y mnh hot ng bn hng thng qua cc dch v ca ngi
trung gian.
Tit kim chi ph vn ti.
Khuyt im
Mt s lin h trc tip vi th trng
Li nhun b chia s.
Ri ro ln nu la chn nhm ngi trung gian.
i khi b trung gian i hi, yu sch.

iu kin s dng giao dch

Thm nhp vo th trng mi.
Khi gii thiu v kinh doanh mt hng mi.
Tp qun th trng i hi phi qua trung gian.
Mt hng cn s chm sc c bit : hng ti sng,..

2.3. Cc loi hnh trung gian thng mi

2.3.1. Mi gii
Khi nim: 50 Lut TMVN 2005
Mi gii l thng nhn lm trung gian cho cc thng
nhn khc trong vic m phn, giao kt Hp ng v
c hng th lao theo Hp ng.
Mi gii: L mt thng nhn lm trung gian cho cc bn
mua bn hng ha, cung ng dch v trong vic m phn,
giao kt Hp ng mua bn hng ha, dch v v c hng
th lao theo Hp ng.

c im:
Mi quan h gia ngi mi gii v ngi y thc da
trn s y thc tng ln.

Ngi mi gii khng i din cho quyn li ca bn no

Mi gii khng ng tn trn Hp ng

Mi gii khng tham gia thc hin Hp ng
2.3.2. i l
Khi nim:

Lut Thng mi 2005 : i l thng mi l hot ng

thng mi, theo bn giao i l v bn i l tha thun
vic bn i l nhn danh chnh mnh mua, bn hng ha cho
bn giao i l hoc cung ng dch v ca bn giao i l cho
khch hng hng th lao.

- i l l thng nhn tin hnh mt hay nhiu hnh vi

theo s y thc ca ngi y thc. Quan h gia ngi y
thc v i l l quan h Hp ng i l.

c im:
i l ng tn trong Hp ng
Mi quan h gia ngi y thc v i l l mi quan h di
hn.
Bn u thc l ngi ch s hu v hng ho hay tin t
c giao cho ngi i l.
170 Lut TM 2005: Quyn s hu trong i l thng mi
Bn giao i l l ch s hu i vi hng ho hoc tin giao
cho bn i l.
Phn loi
Cn c vo mi quan h gia ngi y thc v l
+ i l th y
+ i l hoa hng
+ i l gi bn
+ i l kinh tiu

i l
-i l th
u
(mandator
y)

Danh
ngha
-ngi u
thc

chnh
- i l hoa mnh
hng
(commisio
n
-

- i l
kinh tiu
(merchant
agent)

- chnh
mnh

Chi ph
-ngi u
thc

ngi u
thc

Tin th lao
- mt khon
tin
-% kim
ngch

- chnh
mnh

% gi mua,
gi bn hng
ho dich v
-

chnh lch
gia gi
bn v gi
mua
-

Cn c vo phm vi quyn hn ca i l
+ i l ton quyn
+ Tng i l
+ i l thng
+ i l c bit
+ i l c quyn
Cn c vo lnh vc hot ng ca i l
+ i l xut khu
+ i l nhp khu
+ i l giao nhn
+ i l lm th tc hi quan,

Hp ng i l
Hnh thc: Vn bn
.168 Lut TM 2005: Hp ng i l phi c lp thnh vn bn hoc bng
hnh thc khc c gi tr php l tng ng.

1)
2)
3)
4)
5)
6)
7)
8)
9)
10)

Ni dung
Phn m u
Ngy hiu lc v ht hn H
Sn phm
Khu vc lnh th
Quyn v ngha v bn i l
Quyn v ngha v ca bn y thc
Gi c
Th lao v chi ph
Thanh l hp ng v cc quy nh v chm dt H
Ch k cc bn.

II. MUA BN I LU
1. Khi nim:
Mua bn i lu l phng thc giao dch trao i
hng ha trong xut khu gn lin vi nhp
khu, ngi bn ng thi l ngi mua, lng
hng giao i c tr gi bng lng hng nhn v.
2. c im
Xut khu gn lin vi nhp khu
Quan tm ti gi tr s dng ca hng ha trao i
ng tin lm chc nng tnh ton
m bo s cn bng Cc yu cu cn bng

3. Cc loi hnh mua bn i lu

1) Hng i hng: C in/ Hin i
2) Nghip v b tr
Khi nim:
Phn loi:

Cn c vo thi hn giao hng i lu

+ B tr trc
+ B tr song hnh

Cn c vo s cn bng gia tr gi hng giao v

tr gi hng i lu
+ B tr mt phn
+ B tr ton phn
+ B tr c ti khan bo chng

3) Nghip v thanh ton hnh bnh hnh

Bnh hnh t nhn
Bnh hnh cng cng
4) Nghip v mua i lu
Xut khu hng ho X
A
B
Cam kt A nhp hng ho Y trong tng lai

5) Giao dch bi hon

L giao dch m ngi ta i hng ha v /hoc dch v ly nhng dch v v
u hu

6) Nghip v mua li sn phm

Bn cung cp thit b tan b, v/hoc sng ch hoc b quyt k thut (knowhow) cho bn khc, ng thi cam kt mua li nhng sn phm do thit
b hoc sng ch hoc b quyt k thut ch to ra.
??? So snh mua li v mua i lu?

7) Nghip v chuyn n
Bn nhn hng khng thanh ton m chuyn khan n v tin hng cho mt
bn th ba bn th ba ny tr tin

4. Hp ng i lu
a. Hnh thc
Mt hp ng vi hai danh mc hng ha
Hai hp ng, mi hp ng c mt danh mc
Vn bn quy nh nhng nguyn tc chung ca vic trao i
( trn c s k kt cc hp ng mua bn c th): Vn bn
nguyn tc ( MOU, frame contract, frame aggrement)
b. Ni dung: Danh mc hng ha ( giao v nhn), s lng v
tr gi, gi c v cch xc nh, iu kin giao hng,...

c. Cc bin php bo m thc hin

Pht
Bn th ba khng ch
Th tn dng i ng

III. GIAO DCH TI XUT

1. Khi nim:
Giao dch ti xut khu l vic bn li hng ha nhp
khu trc y nhm mc ch kim li.
2. c im
Hng ha cha qua bt k mt khu gia c ng, ch bin
no.
Mc ch thu v mt s ngoi t ln hn vn b ra ban
u.
Giao dch lun c s tham gia ca 3 bn Giao d ch tam
gic

Hng ha c cung cu ln v bin ng thng xuyn

Hng u i v thu v hi quan.

3. Cc loi hnh ti xut

3.1. Ti xut ng thc ngha (tm nhp ti xut)
Khi nim: 29 LTM VN 2005

Nc xut khu

Hng
Tin

Tm nhp

Nc ti xut
Lm th tc NK v XK

Ti xut

Nc nhp khu

N 12/2006/N-CP
- Hng tm nhp ti xut phi lm th tc hi
quan khi nhp khu vo Vit Nam v chu s
gim st ca hi quan cho ti khi thc xut
khu ra khi Vit Nam.
- Thi gian tm nhp cho ti khi ti xut khng
qu 120 ngy k t ngy hon thnh th tc hi
quan tm nhp. C th xin php Cc hi quan
cp tnh/thnh ph ko di thi gian tm nhp
ti a 2 ln, mi ln khng qu 30 ngy.
u nhc im??

3.2. Chuyn khu

Khi nim: 30 LTM VN 2005

Hng
Tin

Nc xut khu
(2)

(1)

Nc ti xut
Khng lm th tc NK v XK
Ca khu trung chuyn

Nc nhp khu
(2)

Kho ngoi quan hoc

Khu vc trung chuyn hng

(1): Chuyn khu cng khai: Hng ho c vn chuyn thng

t nc xut khu n nc nhp khu khng qua ca khu
nc ti xut
Gi nguyn B/L, ch thay ho n thng mi
Ngi chuyn khu t chu ri ro ch ph
D l ngun hng
(2): Chuyn khu b mt: Hng ho c vn chuyn t nc
xut khu n nc nhp khu c qua ca khu nc ti
xut, c hoc khng a vo kho ngoi quan, khu vc trung
chuyn hng ho ti cc cng nc ti xut, khng lm th
tc nhp khu vo v khng lm th tc xut khu ra khi
nc ti xut.
Ngi chuyn khu v ngi nhp khu chu nhiu ri ro
hn
Kh b l ngun hng
Khi nim Kho ngoi quan: 4 Lut Hi Quan 2005
iu kin kinh doanh chuyn khu: 15 N12-CP

4. Thc hin giao dch ti xut

K kt Hp ng: 2 hp ng ring bit nhng
c quan h mt thit
Quy nh cc bin php bo m thc hin H
+ t cc
+ Pht
+ Th tn dng gip lng ( back to back L/C)
Bn xut khu

Bn nhp khu

L/C
Gip
lng

L/C
Gc

Bn ti xut

IV. GIA CNG QUC T

1. Khi nim
178 - Lut Thng mi 2005:
- Gia cng trong thng mi l hot ng thng mi, theo
bn nhn gia cng s dng mt phn hoc ton b nguyn liu,
vt liu ca bn giao gia cng thc hin mt hoc nhiu cng
on trong qu trnh sn xut theo yu cu ca bn giao gia
cng hng th lao.
- Gia cng quc t l gia cng thng mi c yu t nc
ngoi, th hin:
+ Bn giao gia cng v bn nhn gia cng: C tr s thng
mi hai nc khc nhau hoc hai khu vc hi quan ring
theo quy nh ca php lut.
+Nguyn liu, bn thnh phm v thnh phm di chuyn qua
bin gii.
- Gia cng quc t l mt hot ng kinh doanh thng mi
trong mt bn (gi l bn nhn gia cng) nhp khu nguyn
liu, bn thnh phm ca mt bn khc ( gi l bn t gia cng)
ch bin thnh ra thnh phm, giao li cho bn t gia cng
v nhn th lao ( gi l ph gia cng).

2. c im
Tin th lao gia cng tng ng vi
lng lao ng hao ph lm ra thnh
phm.
Quyn s hu v nguyn vt liu, bn thnh
phm giao gia cng thng vn thuc v
bn giao gia cng
Hng u i v thu v hi quan

3. Cc loi hnh gia cng quc t

3.1. Cn c vo quyn s hu nguyn liu
a. Giao nguyn liu, nhn thnh phm
Bn t gia cng giao nguyn liu, bn thnh
phm cho bn nhn gia cng v sau thi gian
sn xut, ch to, s thu hi thnh phm v tr
ph gia cng. Trong thi gian ch to, gia
cng quyn s hu v nguyn vt liu vn
thuc v bn t gia cng.
t
gia
cng

Nhn
gia
cng

b. Mua nguyn vt liu, bn thnh phm

B1. Bn t gia cng bn nguyn vt liu cho bn nhn
gia cng v sau thi gian sn xut, ch to s mua li
thnh phm, v cc bn c tin hnh vic thanh tan
th coi nh l hai hp ng mua bn ring bit v c
s chuyn quyn s hu nguyn vt liu t bn t
gia cng sang bn nhn gia cng .
- Nu khng c quy nh g th bn nhn gia cng vn
c quyn khng ch thnh phm. V vy cc bn cn
lu trong hp ng rng buc trch nhim v
ngha v ca cc bn trong vic qun l, kim sat v
s dng hng ha.
t 1
gia
4
cng 4

Nhn
gia
3333 cng
2
2

B2. Bn t gia cng cho hng mu m sn phm

v h tr ti liu k thut. Bn nhn gia cng trn c

s t tm ngun nguyn vt liu u vo (c th
nhp khu t bn giao gia cng hoc khng). Bn
nhn gia cng khi han thnh s giao thnh phm
cho bn t gia cng.
i vi hnh thc ny trong Hp ng thng quy
nh trch nhim tiu th thnh phm thuc v bn
t gia cng.
t
11
gia
cng

1
3
4

Nhn
gia
cng

Bn
nguyn
vt liu

c. Hnh thc kt hp
3.2. Cn c vo gi c gia cng
a. Hp ng thc chi, thc thanh ( Cost Plus
Contract)
b. Hp ng khan: Xc nh mt gi nh mc
(target price) cho mi sn phm, bao gm chi ph
nh mc v th lao nh mc.
Quy nh gi gia cng.

CMT ( Cutting, Making , Trimming)

CMP ( Cutting, making , packing)
CMQ ( cutting, making , quota)
CMTQ, CMPQ

3.3. Cn c vo s bn tham gia

a. Gia cng hai bn (gia cng gin n)
b. Gia cng nhiu bn ( gia cng chuyn tip): bn nhn gia cng l
mt s doanh nghip m sn phm gia cng ca n v trc l i
tng gia cng ca n v sau , cn bn t gia cng vn ch l mt.

t
gia
cng

Nhn
gia
cng

2
33
3
Nhn gia cng
tip chuyn tip
N12/2006/N-CP. .34.chuyn
Gia cng

Thng nhn c quyn gia cng chuyn tip. Theo :1. Sn phm
gia cng ca hp ng gia cng ny c s dng lm nguyn liu
gia cng cho hp ng gia cng khc ti Vit Nam.2. Sn phm gia
cng ca hp ng gia cng cng on trc c giao cho thng
nhn theo ch nh ca bn t gia cng cho hp ng gia cng
cng on tip theo.

4. Hp ng gia cng
4.1. Khi nim
Hp ng gia cng l s tho thun gia cc
bn, theo bn nhn gia cng thc hin
cng vic to ra sn phm theo yu cu
ca bn t gia cng, cn bn t gia cng
nhn sn phm v tr tin cng.
4.2. Hnh thc: 179 LTM VN 2005: Vn bn
4.3. Ni dung
1)
Tn v a ch cc bn
2)
Sn phm gia cng
3)
Gi gia cng

4)

Thi hn v phng thc thanh ton

Tin mt
Chuyn tin
Nh thu
+ Nhn nguyn vt liu: D/A
+ Giao thnh phm: D/P
Th tn dng
+ Nhn NVL, giao thnh phm: Bn nhn gia
cng m L/C tr chm, bn t gia cng m L/C
tr ngay (L/C d phng)
+ Mua NVL, bn thnh phm: Bn nhn gia
cng m L/C tr ngay v bn t gia cng m
L/C tr ngay.

L/C d phng Standby L/C

NH bn t gia
cng

(5)

NH bn nhn gia cng

(2)

(3)

(1)

(7)

(4)
Bn t gia cng

Bn nhn gia cng

(8)

(1) (2) (3): Bn nhn gia cng m L/C tr chm, tr tin nguyn vt liu
(L/C con nt-Baby L/C).
(4): Bn t gia cng giao nguyn vt liu chnh
(5) (6) (7): Bn t gia cng m L/C tr ngay, tr tin cho thnh phm
( L/C ch Master L/C)
(8) : Bn nhn gia cng giao thnh phm, thanh ton tin v tr i tr gi L/C con nt.

5)

6)

7)

8)
9)
10)

Danh mc, s lng, tr gi nguyn liu, ph liu,

vt t nhp khu v nguyn liu, ph liu, vt t
sn xut trong nc (nu c) gia cng; nh
mc s dng nguyn liu, ph liu, vt t; nh
mc vt t tiu hao v t l hao ht nguyn liu
trong gia cng
Danh mc v tr gi my mc thit b cho thu,
cho mn hoc tng cho phc v gia cng
Bin php x l ph liu, ph thi v nguyn tc
x l my mc, thit b thu mn, nguyn liu,
ph liu vt t d tha sau khi kt thc HGC
a im v thi gian giao hng
Nhn hiu hng ha v tn gi xut x
Thi hn hiu lc H

5. Bin php m bo thc hin hp ng

- Bo lnh
- Pht
- L/C d phng
Bi tp
6. u/ Nhc im?????????

V. CC PHNG THC GIAO DCH C BIT

1. U GI
1.1. Khi nim: 185 LTM VN 2005
u gi l hot ng thng mi, theo ngi bn
hng t mnh hoc thu ngi t chc u gi thc hin
vic bn hng ha cng khai chn ngi mua tr gi
cao nht.
1.2.c im:

T chc cng khai mt ni nht nh, ti thi im

xc nh

Ngi mua c xem hng trc v t do cnh tranh

Th trng thuc v ngi bn

Hng ha: Kh tiu chun ha v/hoc hng ha qu

him, c o c gi tr ln. Ngi t chc u gi c th
l ngi bn hng ha, hoc l ngi kinh doanh dch v
u gi hng ha.

1.3. Phn loi

u gi thng nghip
u gi phi thng nghip
1.4. Phng thc tin hnh
a. C ting ni
Tr gi ln (kiu c)
t gi xung (kiu H Lan)
b. Khng c ting ni
1.5. Cch thc tin hnh u gi
Bc 1: Chun b u gi
K H t chc
Chun b hng ho
Xy dng th l u gi
Thng bo, nim yt thng tin
Bc 2: Trng by hng ha
Bc 3: Tin hnh u gi
Bc 4: Lp vn bn bn u gi v giao hng ha

2.U THU
2.1. Khi nim: 214 Lut TM 2005
u thu hng ha, dch v l hot ng thng
mi, theo mt bn mua hng ha, dch v
thng qua mi thu (gi l bn mi thu) nhm
la chn trong s cc thng nhn tham gia u
thu (gi l bn d thu) thng nhn p ng tt
nht cc yu cu do bn mi thu t ra v c
la chn k kt v thc hin hp ng (gi l
bn trng thu).
2.2. c im
Hng ha: Tr gi cao, khi lng ln v a dng,
hu hnh v v hnh
Phng thc giao dch c bit
B rng buc bi cc iu kin vay v s dng vn

2.3.Cc hnh thc u thu

Cn c vo s lng nh thu tham gia
u thu rng ri: 18 Lut u thu 2005
- Khng s tuyn
- C s tuyn
u thu hn ch
- Trng hp p dng: 19 Lut u thu 2005
+ Yu cu bn cho vay
+ K thut cao, nghin cu th nghim
+ Ti thiu phi mi 5 nh thu
Ch nh thu
- Trng hp p dng: 20 Lut u thu 2005
+ S c nghim trng cn khc phc ngay
+ Yu cu bn cho vay
+ B mt quc gia
+ m bo s tng thch

Cn c vo phng thc u thu

- u thu 1 giai on
u thu 01 ti h s
u thu 02 ti h s
- u thu 2 giai on: 26 Lut u thu
2005

Cn c vo i tng
u thu cung ng dch v
u thu mua sm hng ha

Cn c vo hnh thc Hp ng

Hnh thc trn gi

Hnh thc theo n gi

Hnh thc theo t l phn trm

Hnh thc theo thi gian

2.4. Cch thc tin hnh
1)
Chun b u thu
2)
S tuyn
3)
Ch dn, gii p thc mc cho nh thu
4)
Thu nhn v qun l h s d thu
5)
M thu

6)
7)
8)
9)

So snh v nh gi h s d thu
Xp hng v la chn nh thu
Thng bo kt qu v k kt Hp ng
Bn trng thu t cc, k qu hoc np bo
lnh thc hin H.

Quy trnh nghip v u thu

Bn d thu

Bn mi thu

C quan qun l

K hoch u thu

Duyt

Tip nhn

Thng bo mi thu

Lm n xin d thu

S tuyn ln danh sch

ngn

Duyt

Mua HSDT

Bn HSDT

Duyt

Gii p thc mc
Np HSDT+t cc

Tip nhn

Tham d

M thu

K H

nh gi

Ph duyt

K H

Ph duyt

VI. S GIAO DCH HNG HA

1. Khi nim
S giao dch hng ha l mt th trng c bit
ti thng qua nhng ngi mi gii do S
giao dch ch nh, ngi ta mua bn cc loi
hng ha c khi lng ln,c tnh cht ng
loi,c phm cht c th thay th c cho
nhau.
2. c im:
Giao dch din ra ti a im, thi gian c nh
Hng ha: Tnh cht ng loi, tiu chun ha
cao, khi lng mua bn ln, d dng thay th
cho nhau.

Vic mua bn thng qua mi gii mua bn S giao

dch ch nh.
Vic mua bn tun theo nhng quy nh, tiu chun
ca S giao dch.
S giao dch hng ha tp trung cung v cu v mt
mt hng giao dch trong mt khu vc, mt thi
im nht nh, th hin c s bin ng ca gi
c.
Ch yu l giao dch khng
3. Cc loi hnh giao dch ti SGDHH
3.1. Giao dch giao ngay ( Spot Transaction):
Hng ha c giao ngay v tr tin vo lc k kt
hp ng.

3.2. Giao dch k hn ( Forward Transaction)

Giao dch m gi c c n nh vo lc k kt H
nhng vic thc hin H (giao hng v thanh tan)
c tin hnh sau mt k hn nht nh, nhm mc
ch thu li nhun do chnh lch gi gia lc k kt
H v lc thc hin H.
- Giao dch theo hnh thc ny ch yu l giao dch
khng do nhng ngi u c thc hin. C hai loi
u c: u c gi ln (bull) v u c gi xung
(bear).
- Cc bn c th linh hot thc hin nghip v han
mua hoc hon bn bng cc khan n b han mua
(do bn mua tr cho bn bn) v khan n b han
bn (do bn bn tr cho bn mua), han ngy
thanh tan n k hn sau.

V d Giao dch k hn
(1): Ngy 1/10, k H k hn 1 thng bn 10MT
hng ho X vi gi 500$/MT
(2): Ngy 30/10, gi hng ho X trn th trng
gim xung cn 400$/MT: Ngi bn (Bear)
li 1000$, ngi mua (Bull) l 1000$. Ngi
bn nhn 1000$ do ngi mua np ti phong
thanh ton b tr

Ngi bn - Bear
2
2

Ngi mua - Bull

Phng thanh ton

b tr

3.3. Nghip v t bo him ( Hedging)

L nghip v mua bn m bn cnh vic mua bn thc t ngi ta
tin hnh cc nghip v mua bn khng ti SGD nhm trnh c
nhng ri ro do bin ng v gi c.
V d:
1

Ngi
bn
3

Ngi
mua
3

Phng thanh ton

b tr
(1). Bn bn mua mt l hng X trn th trng gi 300USD/MT
bn li 1 thng sau
(2).Bn bn d kin gi hng X s gim sau 1 thng nn vo s giao
dch bn khng l hng gi 300USD/MT
(3). Sau 1 thng nu gi hng X gim xung 200USD/MT th ngi
bn s l 100USD/MT trong giao dch trn th trng thc nhng li
100USD/MT trong giao dch khng ti SGD v ngc li

3.4. Hp ng quyn chn (Option Contract)

Hp ng v quyn chn mua hoc quyn chn
bn l tha thun, theo bn mua quyn c
quyn c mua hoc bn mt hng ha xc
nh vi mc gi nh trc (gi l gi giao kt)
v phi tr mt khon tin nht nh mua
quyn ny (gi l tin mua quyn). Bn mua
quyn c quyn chn thc hin hoc khng thc
hin vic mua hoc bn hng ha .
4. Cch thc tin hnh giao dch ti SGDHH