AIG =1nim b. >=2 nim. ©. >=Snam, @. >= 10 nim. / Cau 20: UBCKNN cé quyén dinh chi chio ban chimg khodn ra céng ching trong trutmg hyp nao sau da} , a. Hé so chio bin cé théng tin sai léch hay bd s6t ni dung quan trong. b. Vig phan phi chirng khoan khéng bao dim nguyén tic céng bing, céng khai. ©. Tin mua-chimg khoan khong duge chuyén vao tai khoan phong téa mé tai ngin hang chi ¢inh, d. Tat ca cde cau trén./ Dap an: 1£ 20 36 4A 58 6A 7E 8C 98 106 110 12 138 1A 15 16 17F 18F 190 200 1 4 off197 LTV trang 1 CAUHOLVA TRA LOILUAT CHUNG KHOAN ab het bi (Wait ony) 46 so chdo béin o6 phidu ra cOng chig cia mot NHTM gdm c6: = Gity ding kj chto ban - Ban cfo bach - Digule r ~ Quy dinh cia dai hi dong 6 dong thong ave phudng &n phét hanh va phung 6 sit dung v6n. Néu la TP c6 thém cam két thyc hign nghia ve 461 vi NDT" Cau 2: KE wnghy nhdn gidty chiing nhén chdo bém Ck ra céng chiing, thai han cho 16 chite phét hanh hodn thanh vige phat han cP, TP Ia: ‘TL: 90 ngay . Céiz 3: Ngvdi hanh ngbié kinh doanh chimg Khosn phai 6: "TL: Bing dai hoc (bing cao dng, trung cd vA tStnghigp trang hoc phé thong deu ‘kh6ng duge)- ‘Cais A: Chip thud hay huy-d6 niin yeeld de ‘TL: sb GDCK va TTGDCK Cau 5:, Dibvkign déichdo bin ching kho#n ra 6678, ching: Phai c6 t6ithiéu 10 1} von dieu le. Nam tevéc 46 kinh doanh c6 i Céiu 6; Von ditule 10.1) dong ciia'td chic chao ban CP ra cng chiing duge tinh tied $6: TTL: Gid tri sé sdch Cau 7: Dai hoi dong'c6 dong cba cong ty CP duce tin hanh béi: TL: Tit ci cde ¢8 dong ndm gi-CP €6 quyén piu quyét. Céu 8: Doanh nghiép duige quyén phit hank chitng khodn: TLitit cd cfc cbng ty (cong ty 66 phan, cOne 1 TNHH, cong ty nha nuéc) tit cOng hgp doanh. . Cau 9; Thanh vien giao dich ola s GDCK, ‘TTGDCK la: "TL: Cong ty, CK ngoai trit trong tm Iu ky ¢k, NH chi din, cOng ty Quin If quy. Cau 10: Cong ty 6 phian dutge quyén: { ‘ge quyn phat hanh ck ra cOng ching TL TLL oo Bitge quyén phat hanh 6 phigu phé thong.” = © Buge quyén Iya choa phat binh hodc khOng phai phét hanh cp wu dai. Cau £1: Ké tirkhi nhin bb so hop 1@, thoi han cap gidy ching nh§n ding ky luu ky 1 ‘TL: 15 ngdy Céu 12; BK chva chinh xée cia viéc chdo bén ching chi quy ra céng ching cha quy: TLi la vige cho bén ra céng ching dng thot v6i viée xin phép thank lap quy. Cau 13: Ban dai dign quy cng ching 6!te 4197 LTV trang 2 ‘TL: 3 - 11 thanh vign (trong dé 2/3 sO thanh vign trén khong phai la ngudi c6 lién quan cha'cong ty quin ly quy va ngin hang giém st), Céu 14: Thanh vién lu ky ck 1a: TL: - Cong ty chitng khodn - Ngdn hang thuong mai (ngoai tri’ ngan hang chi djnh thanh todn) Céu 15: Ngudn von hinh thanh quy hé tr¢ thanh todn'do: TL: - Céng ty chting khodn - Ngan hang thudng mai c6 Hd lu ky (ngoai trit ngdn hang chi dink thanh todn). Céu 16: Trong 24h céng ty phai cOng b6 thong tin bt thuYng thi xy ra trudng hop cong ty bi tn tht 10% ts rOng 2: © Cong ty ck TL { © Céng ty niém yét © Cong ty quan 1 quy (ngoai tri cong ty dai ching). Cau 17: NH gidm sét angan hang thing mai co: TL: -C6 gidy.chiing.nh§n dang ky hoat dng hu ky chiing khoén. - Gidm sat.vide quan ly‘quy dau ww... Céu 18: Khi c6 két lan vé vi pham lvat ck chdnh thanh tra cé quyén: © Phat tin ab & Phat cdnh cho gid tri NAV cia quy dau tu’ chitng khosn niém yét uén TT tép trung phai Céu I dyfa vao: xhe di no Gid déng cia ngay GD trudc ngay dinh gid. © Gié trung binh ngay GD.tvéc ngay dinh gid. Cau 20: Té chiéc kinh doanh chiing khodn nudc ngoai dugc d dang: o Liéndoanh © Gép vén CP © 100% von nude ngoai © Van phong dai dign. Cu 21: Ditu kign dé 1 ngan hang dang ky hoat dng lutu ky ck: TL f Cé thidt bi va trang thiét bj phyc vy TL - Gidy phép thanh lép hogt déng lutu ky chitng khodn - Ng qué han khéng qué 5% nguOn du lai nim gan nhit. Céiu 22: thanb tra chiing khodn chi duc thyc hign khi c6: {: Chuong trinh ké hoach da dugc phé duyét. TL + C6 dau higu vi pham phét Iugt v8 chitng khodn, - Yéu clu cba chi tich uy ban. Céu 23: 06 chitc cé nhan sd hitu 10% von di€u Ié cla cOng ty ck hoe cong ty quan ly kag é Guide sf hiv 16i da 5% von didu Ig olla ebng ty ck va cong ty quia ly quy.AST lag the vioh og? Fas 22y pb THI THAM KHAQ (neh on thong £4) (Cau 1: Té chiite niém rybt khi giao dich 6 shigu quy chi.dugc phép 1a) Mus lgi Khong qua 25% ob phiéu cia t6 chire niém yet ‘b) Mua lai Sehng qu 36% cob phidu cia td chite niém vyét ) Thye hign trong vong 6 thing 4) Thyc hign trong vong 3 théng e)avac fybvid Ob: Nave thu tr kh tye bigm gio cick chio mua cbng Yai, phi €dp tng ¥E chu sau: 2) Béo co UBCKNN it andt 10 ngay lam vige tnxée Ki cho Tae py Taye hign chfo mil RHO, dud aR 6) Hiiy chao mua thau t6m Ichi khdi ene vann Bh, agg chio bén vugt kbbi Iugng cho Tvs «) The ign dbng thei cho mua cOng ve vb dg thdng gu Who len tl trang A giao dich chime khotn c) Dft gid chio mua thip hon gid déng cite trén trong 14m giso dich ok fascvad / g)edvic “Trdi phidu sé bi hay bo niém vyét khi tha? gian: thanh toda edn Iai cba tri phiéu ft hon: chu 4 :Céng Khai thing tin vé TECK phi thda mfin cdc yéu chu sat, ngod tis (Cau 5: Trong trutmg bgp pha sir, jiai thé doanh nghigp, cf¢ cb dong sé = 2) LA ching chung by Mittoin bb sb tién du te c) Duge wm tién tra Vai cb phin dd gop trude ) La ngudi cubi cing dupe) thanh toan / thi cing ty, ngudi nim git tril phigw sé durge hon tri: a) Trube cfc khoan fy e8 thé chip va cde Khon phil tk ) Trude cde khoin sau thué } ¢) Saucic khodn vay ¢6 thé chip va ed khoan phai tré 4 4) Trude cfc khod thue? e) Trude cic cb dong indm gidt cd phiéu wu 431 ya cb dong pho thong / (Cau7: Mot trong nhtng dita kién. phit hanh ob phiéu tin du ra cng ching VN a) Co vn ti thiéu 12 oa oe st b) Coven rds 0 eto es donne 7 c) Cé vor & eins emp boet dag inh doa a2 Mian Vid trate mim ding Ky phil oUt 4) C6 vbn ti thidu 18 5 ty dbng, hoat d6ng, inh doanh cba nim Tian trade, nim dang ky phai e6 a Cau8: TY nim gitt 16i da cia nh dau tu nude ngoti d&i vei cd phiéu cba 1 16 chic idm yét dupe avy 4 1theo phip Lut VN 1a: 2) 25% tong so cp b) 49% tang s6 cp 7 c) 30% ting sé cp 1 d) 27% tdng sd cp “au 9: MOt trong nhiing diéu kign dé nigm yét trdi phiéu doanh nghiép = 4) La cong ty cé phan, cong ty TNHH, DNNN, cé vn didw 1g da gop tai thoi diém xin phép niém yéttir 1007 ddng tra én . ib) La cdng ty c8 phn, céng ty whe. DNNN, cé von didu Ié di gép tai thoi didm'xin phép niém yhetir 5 iy dong tro lén 2 seal ¢) Lavc§ng ty cé phan, cdng ty TNHE, DNNN, doanh nghigp tw nhan o6 vén didu T¢ dk g6p tai thot idm xin phép niém yét tir 10 ty ddng tro len’ d) Khong cu nao ding * t Cau 10: Quy dau tu chimg khodn theo quy'djnh ciia VN la quy: a) Dau tu ti thidu 40% gid ty tdi sn cila quy yao ck b) Dau tv tdi thidu 50% gid tr tai san cia quy vdo ck c) Dau tu t6i thidu 60% gid tr] tdi sn cla quy vao ck 4 d) Diu tu tdi thidu 70% gid ty ti san cha quy vao ck Cau 11:76 éhire phat haoh phai hon thanh vite phn phéi ep trong vong: 2) 60 ngay ké tir ngay gify chimg-nbiin diag ky phittbanb oé hitu lye b) 70 ngay ke tir ngay gidly chimg nbn ding ky phit hinh cd hitu lye ©) 80 ngdy Ke tir ngly gidy ching nbn: ding kf phat baah co higu Lue 6) 90 nghy Ke tir ngay gidy ching ng ing ey-phbt hhanh €6 hig lye / Cau 12: Hoi déng quan tri, ban Giém Déc, ban kiém sodt cila cty niém at phai niim gid: «) it mbt 20% von ob phan cia cty. by ft nhit 20% vén cé phn ciia ety trong vong 3 nim kd tir ngay niém yét. / c) it nhit 50% vén od phiéu do minh sé-httu trong 3 nm ké tir ngay niém yét ) Ban ngay CK A vi da ting lén dinh c) Khdng nén mua bén gi vi thj trong khéng én djnh 4) Dwa ra cdc thong tin va dé nha dau te tyr quyét dinh Cau 57; Cac té chite ddu tu(NHNN, NHTM, va ede t6 chic khéc) durge phép tham gia dau thhu , gi ly phat hanh vi bao Vinh phat hiinh tréi phiéu chinh phi duge mé tai Khodn liru ky tai TTGDCK, khi giao dich trét phiéu thi phai dat lénh tai: a) TIGDCK b) Ngan hang lu ky CK ) Cong ty CK . Cau 58: TS chire niém yét‘khi giao dich cd phiéu quy , chi durge phép: a) Mua lai khing qué 25% cd phiéu cila t6 chite niém vyét b) Mua lai khéng qué 30% c8 phiéu cia 18 chite niém yét ¢) Taye hign trong 6 thing @) Thye hign trong 3 thing e)avic f)bvad Cau $9: Té ehite , c4 nhin nfm gitt hoc cing lién quan nim gitt tdi 5%,10%, 15%,20% vin oé phin cua 1 chite niém yét va mdi ki c6 giao dich lam thay 46i tang , gidm ede mite trén, néu khng bao c4o UBCKNNtrong vong 3 ngay ke tir ngiy giao dich dat , vugt cdc mite nbi trén, sé bude pha: a) Ban ra trong 30 ngay b) Khing duge hug cé tt, quyén kém theo cho phan cé phiéu buge phai ban ra c)avib Cau 60; Cong ty CK duge phép thye hign, ngoai tri trrémg hop: a) Ky hgp dong biing van ban véi khach hang vb giao dich CK : | 'b) Thu thfp day di théng tin vé tinh hinh tai chinh va myc tigu dau tu cha khach hang, cung cp théng tin bao mét théng tin cho khach hang . «) Hoat dng tin dung va cho vay CK 4) Uu tien thye hign Iénh khéch hang tru lénh cia Cty CK . . ©) Ty mua bin CK trén tai khodn eta Khach hing hofe mugn danh nghia cia khch hang ¢€ mua ban f)bcvae g)cvie (Céiu 61: Céng ty quan ly quy dau tur duge thyc hin , ngoai trit trudng hyp = a) Hoat dng tu van ti chinh va dau tu CK’ LPS . b) Thay mat quy thyc hign quyén va nghia vu déi véi cic tai sin trong danh myc dau tu cua quy 8¢) Nn thi lao ties hon dg jao dich mua ban thi san eho qugngodi phi vi ‘hues theo quy dinb) @) Ding von v4 {81 san cila quy 4¢ cho VAY ao len’ cic khodn v8y . e)avac | fevid ‘cau 62: COng ty CK vanhia vien CO eibng durge phép ngowi 5) Lam tra 2énh giao dich ca nha dau te b) Khéng ung CAP ac nhgn Ket qua giao dich ¢) Dhuty vio Cy CK khéc, @ Techviet “host dong kinh doanh cis chi sy bir obng ty voi host dng kink doanh ota Cty CX ‘ayy 63+ Hinh thie php IY ot CICK theo quy dinh ob phép In8t VN Ie SGdng ty TNHE va CTCP ___b) Coagty hyp danh ¢) Cong ty Hiendanh dyavac cau 64: Theo avy dinh cba phép rott Va" ofc Cry OK duge fiba hank mot of Joni inh kinh doanh CK 54 » gos ter 2) Moi gid b) Tedoanh c) Quan ly qu? hu tr CK {) Bao linh phat hah CK, aan 65: Dubi day 1 che stng ekinh 68 Cy CK 2) Latrung gia ida ngubiidi te yard chire nid 1) Cung cp ts dung cho Koh bhog ¢) The big eh ra bn cho khéch bing dy Tuvan ‘@ku tu trye tiép cho ‘hich hing khi ho ©6 yeu cit cau 662 Theo guy dinb hign baa, 1 Coy Cle mubn thye higa vie bio Ian phét hhanh ra cong ching phil C&P ‘ing cic digu kit: 1. Cé gidy phép host dng tpao Vinh phat inh 7. Co gidy phép host dong. ty doanh vi bdo inh phat hanh 3, Cé phurong an chho bén CK ra céng ching Kha thi “fying phi 1a ngudi 6 lign quan vei 18 chire pbit binh Phutgag a a) 1va2 pyivad e)2vad i 4 a)23va4 cau 67; T6 chite kinh doanh CK nude ngodi mmubn thy hign kinh doaph. CK SVN Auge phép lép: 1) Chi nok tei VN Lo tp) Cty CK 100% vin nude ngodt - ¢) Cly CK ign doanh voi dbi the VN theo aylt gop vin tbi da 30% von dite lt @) Cty CK ign doanh vai dbi tée VN theo ty 16 gp von toi da ‘49% von dibu le cau 68; Coy CK phan ye duy 6 mite vb hd dung a) 8% ting tai sin 9b) Ding 8% trén tng ng di diéu chinh co) Ti thigu 8% trén tong ng da diéu chinh d) Téi thigu 5% trén téng ng diéu chinh Cau 69: Hinh thic phip Iy cia céng ty quan I quy theo quy dinh cia phép lust VN : a) CTCP ho&c CTTNHH b) CTCP,CTINHH hofe doanh nghigp 100% vin nude ngoai ©) Doanh nghiép nha nurée 4) CTCP,CTTNHH hofc céng ty lin doanh ‘Cau 70: Chimng chi hinh nghé kinh doanli CK 8 gid tr: a) Trong vong | nam ké tir ngay cép ) Trong vong 3 nam ké tirngay cp c) Trong ving 5 nam ké tir ngay cp 4d) Khéng thei han Cau 71: Duéi day 1a cdc ditu kign dé 1c nhin 1a cong dan VN duge cdp chimg chi hin nghé kinh doanh CK, ngoai trir: a) Cé ning luc phap ly va nang lye hanh vi din sy ) Phai lé cir nhan kinh té hoc lust ¢) Cé di cdc chimg chi chuyén mén vé kinh doanh CK do UBCKNN cap d) Dat yéu cu trong ky thi sat hgch do UBCKNN t6 chic (Cau 72: Dai tugng nado diréi day déu durge UBCKNN cép gidy phép hoat dng liu ky CK, ngogi trix a) Cée Cty CK a duge cap gidy phép kinh doanh CK b) Céc NHTM(ngan hing thuong mai) hoat dng tai VN ©) Tat cd céc 18 chie tin dung thinh Ip theo lugt céc t8 chttc tin dung ¢) Chi nhanh ngin hang nude ngoai duge phép hogt dong tai VN Cu 73: Cac Cty CK duige mé tai khodn luna ky tai: a) NHTM durgc cap phép hoat dng hu ky CK. b) TTGDCK 2 Ngfs hing ct inh thanh toan 4) TO chéte phat hinh Cau 74: Vige hinh thanh quy hé trg thank toin nhim: . » a) Quyén gép tidn tir cdc thanh vién 4p quy mua ban CK. nhim binh n thi tring $b) Thanh toa thay cho thanh vin lun ky tam thoi mat kha ning thanh ton ) Kinh doanh CK dé bi dip chi phi cia ede Cty CK trong thai gian dau hoat dng d) Tit ca déu sai : Cau 75: Céc déi tugng nio duge phép tham gia thanh todn bi trir giao dich CK tai Ngdn hing chi djnh tha ton: 1. Cée Cty CK thanh vién 2. Céc NHTM duge edp phép lim thanh vign luu ky 3. TTGDCK, 4. Céc nha dau tu cé 16 chite Phuong én a) b)1va2 “10gizus3 ais tne: Cty CK khéng phi bao dim neha io trong cde nghla vy $30: a) Thu thap diy 48 thng tin vé tinh Binh ti ‘Shinh vi myc tigu du hy cba high hang. b) Quin ly tai Ye ls bhdch hang tach bidt voi ti sim cha CY ¢) Bao mat thing tin cho khéch hing d) Gidm sat vide tan tha php luat khi ‘jw tw CK cla khich hbng cau 77: Cy CK phil gi oo quan quan 1y ahd nude ede béo cho dink ky sau, ngoi tr: + g) Béo co hoat dong kink doanh hing thang b) Bio co tii chinh quy ¢) Bho c&o ti ehinh na nim : 4) Bao cdo ti chink pang nim cb xéc ahgn iia 18 chite kiém toan d9e lap 7c Bop Aw 1 (mua kong qua 30% ~ tong YORE 90 ngay) 2. (thuc hien ‘chao mua khong. ‘@uoi 30 va khong qua 60) 3b (2 thang) - - 4d 5d (eo dong la nguoi cuoi cung duoc thanh tosn) 6 (mguoi nam giu trai phieu se duoc hhoan‘tra truce co dong) 7b (von toi thiew 10 ty host dong ‘Kink donna lien truoc co lai) 8.b( 49% dv Cty niem yet. ‘NH va Cty chus'niem-yet 30%) 9. a(CTCP, TNHH, DN nha fiuoc co von dieu le tw 10 ty) 10. ¢ (Quy dau tu (CK:dau tu toi thiew 60% vao CK) 11d (phan phoi CK trong 90 gay) 4 12. (nam giu 50% trong 3 arn Ay SND 144. Hien nay 50% sas 6 than) 13.a (cong bo tren 3-50 bao lien tiep) 14. b (cong bo thong tin bat thuong), 15. b (chi duoc mo ‘TK giao dich tai CTCK noi jam viet) 16.0 (Sty theo ND 144. Hien nay Oty) 17. (Phat) hien sai + xuat trinh lenh goc + phai duoc TTGDCK chap thuan) © _ 8. (Toi da 20% vot gia giam 20% gi de bioh quan, CBCNV gia giam 4074) 9a 18-4 (QD TTGDCK quy dink, chap thnan bet UBNCK) Fi. a (To chue phat anh, niern yet, CTOLQ, CICK, TIGDCK) dab (CTCP, TNHH, DNNNuoc . CK bao gom ce trai phiev), 23.8 (phan phoi 30 ngay) 24, ¢ (IPO so cap + IPO th cap) 25b 4 236. « (Chi han che dot voi co dong sang lap, co dong nam giu 5% - 20%) 27,2 (CP pho thong) 28d 29! ¢ (30% Von tu co) 30. b G0 ngay) a. 31, d CIID, DNNN co phan hoa, CP DN dap din: a 2. Trong hogt dng ty doanh, Céng ty chimg khoan phai tuan thi cde quy dinh sau, ngogi trir a. Uutign thye hign lénh cia KH b. Cé di tita va CK dé thanh toan © Cong bé-cho KH va gidm 1 fin phf GD d- Thyc hign ifn cia KH > ap in: c 3. Diu kign dé 1 ety CK duge bio lifinh phat hanh CK theo hinh thite cam két chic chin la cfc diéu kign sau 1. Buge phép thyc hién nghigp iy BLPHCK va ko vi pham Plugt CK trong 6 thang lin tuc lign trade thoi diém bao Linh, IL Téng gid trj BLPH ko lén hon 50% von chit sé hitu cla CTCK vao thei diém cubi quy gn nht tinh dén ngay ky hop ding BLPH, tri trubng hop BLPH . _ tri phieu CP, trai phidu CP bao Janh % UL C6 vén diw 1¢ kha dung trén ng digu chinh trén 6% trong 3 thang lién trade thoi diém nhgn BLPH e x IV. CTCK hoge CTCK cing cdc cong ty con nam git tir 10% tra én von du 1é cita td chite phat hanh. a. 1,110, 1V b. 1,0, 00 c. I, 1LIV d. 1, 0,IV > dap in: b 4, CTCK dang chudn bj két théc m6t dgt bao linh phat hanh. Tuy nhién, trén tai Khon hoat dng kink doanh BLPH cdn thiéu 1 khodn tién nhé dé thanh todn theo yéu clu cia t8 chite phat hanh. Ban biét 1a s€ cd mt khoan tién In duge chuyén ‘vé trong ngay hérn sau. Trong tnréng hop nay, ban c6 thé. a. Sir dyng CK trong tai khéan Iu ky cia khdch hang dé thé chip cho khodn vay, tuy nhién dé phai 18 CK phat hanh riéng 1é. Sau dé thong nhdt y6i khéch hang vé chi phi phai tra cho khdch hang a . | b. Sir dung CK trén tai khodn hau ky ela KH dé thé chap cho khdaa vay, tuy nhién 6 phai la CK phat hinh dai ching: Sau dé théng ohét voi KH vé chi phf phai tra cho KH c. Sit dung tién giao djch CK cita khich hang. Sau dé théng bao cho KH va thanh todn cho KH theo Iai sudt thj trrémga eege ° Ko duye sic dyng CK trong ti khodn cli KH Ki chine 6 Iguh cia KH. > dip dn: d CTCK phai duge UBCK chip thug bing vin ban trade khi thyc hign nhting thay Bi sau day, ngosi tr ‘Thay di ton CT, dia did Aft ts chin, chi nhanh, VP dai dign, phong GD ‘Thay abi vé han sy bode ting vybn ditu If “Thich gp, dng cra chi nhénh, VP dai dfn, phone Bi80 dich ‘Tam ngting hogt Ong kinh doank, tr trudmg hop Hem gig hogt dng do nguyén nhén bat kha khang, Gio djch lam thay 461 quyén so hitu 6 phin, phin vin gop chiém Wt 10% tro len. Gan digu Ie a4 gop cia cng ty CK, trir truémg hep eb phigu cia CTCK 48 due nim yét tgi SGDCK/TTGDCK BO sung hoge nit b6t nghigp ve inh doanh CK e oreo > dap dn: b CTCK phi thy higa ché 49 bio ef0 va gti UBCKNN cfc béo efo su, ngogi tt Bio cho tai chinh nim chua qua kiém todn CT bi thn thle 10% gid tr ti sin re Len Dai hoi ddng cb déng hoke H@i ding thinh vién théng qua nop dng sp nhgp voi 1 CT khte Cé sy thay d9i thanh vién Hii ddng quin tr, thinh viéa BGB cia CT, thay bi gubi hanh nghé kinh doanh CK, Toke o3 quyét din khdi t6 di voi chit tich CT, Teak vign HQT, thinh vién BGD, Ké todn trang cr ce. Siza ddi, bd sung didu IG CT. > dap dn: a - 7, Chimg chi hanh nghé 66 ‘thd bj thu hdi vi mot tong cde 1Y do sau: 1. dng thoi lim vige cho... ban chimg Khon 8 cong ching Il, Cho mugn tién, chimg khodn trén tai khoan ... Ti. The hign cdc hanh vi gian lf, lia dio ..- TV. Cho murgn hot thé CCHN v. Thy xéa, stra chita ... VI. Khong tham gia cdc lép tp hudn ... Bip al, bl, én: 1, 11, IV, VI 11,10, 1V, V c.1, 1, ML av, V, Vi 1,1, 10, 1V, V, VI8. Lénh duge chép nbn tai TTGDCK: a. Cac lénh tir nguéi hanh nghé va cde dai ly nhan Iénh e6 thé duge chuyén true tiép 164 (ai dig giao dich tai sin cia cong ty tai TT GDCK b. Khach hang va ngwai hank nghé c6 thé dat iénh tryc tigp t6i dai dign giao dich tai sin cla c6ng ty tai TT GDCK ¢, Trung tin GDCK chi chp nan ede Ifnh da duge chép abn giti tir try s6 hoge tit ede chi nhinh ciia cOng ty d. Tt cA cde Iénh trade hét ;Phai duge chuyén qua trung tam GDCK. dé kiém tra sau d6 chuyén t6i try sé céng ty dé thong qua. . Dau tién Igoh phai duge b§ phan kiém sodt ngi b6 théng qua. P. Mot cong ty chimg khodn la eng ty tréch nhigm hou han m6t thanh vign cia Ngan hang A. Céng ty nay 6 vén chi so hifu 1a 300 ty déng, téng tai san tai bdo edo tdi chinh uy gin nhdt 1a 700 ty dng. Trong phan tai'san cua cOng ty, cong ty chtmg khodn nay nm gitt 30% cé phan tai Cong ty B va 9% vn didu 1g cba cdng ty D, Ngan hang A nim Cong ty dy kién thyc hién ky hop dng bao lanh phat hanh chic chin cho mgt trong cde 18 chtic phat hanh sau: [. Bao lanh phét hanh ...céng ty C... gia tr bdo Hanh 50 ty TI, Bao lah phét hanb... 1000 1 II. Lép t6 hgp bao Hanh .. cong ty CvaBB TV. Lap té hop bao lank céng ty C va. V. Bao lanh phat hanh ...céng ty 1,500 ty 1,500 ty ‘V8 mat phép ly, cong ty c6 thé trién khai phuong dn kinh doanh nao duéi day: a Ivit b. Iviv c. IlvIv 4. LU, UL IV e-LU,Mlvv f Khong phtrong in ndo IL Da c6.tién... UI. khéch hing cho phép ... giao deh IV. Khéch hang déng 9 vé gid va lugng ® VI. Nhén vign nbn lénh .., : Pépanal bv cL IvIN 6.1, 1yIV e.f,1h ILIV vv11. Ngan hang A Ia céng ty dai ching, chua nigm yét tuy nin c6 od phiéu dang hn anh véi tng gid tr theo ménh gid 18 500 ty Ngan hang A nim gitt 51% ‘vén didu Ié tai ‘cong ty chimg khodn Al dang niém yét trén TTGDCK. Von digu Ig cia cong ty ching Ehodn AI 14500 tj, téng tai sn cia cong ty ti bdo edo ti chinh quy gin nhit dat 750 ty. Ngan hing B cé cé phiéu dang niém yét teén TTGDCK. Gia tri cf phiéu dang lu hanh sia ngan hing B hin gi [a 2,000 tj. Bank A va 13 dang nghién oie 8 dn thanh lap céng ty chimg khoan BI voi ‘tng von 1a 300 ty trong 46 bank A xam ‘két tham gia gop vin vii. pia tr] 10¢y. Cong ty chimg khodn Al dang cin nic phuong an kinh doanh sau: L ‘Tham gia gop vin... cOng ty Bl... 1047 IL Tham gia gop von... cng ty BI... 227 ty TT, Mua 10 ty... bank A TV. Mvacd phiéu... bank B... 200 ty Vv. Muacd phiéu ... bank 150ty Dip ant a, 1, Ivill bv ce. Il d. vv e IvIV £ Khdng phuong én nto 12.Quy dinh vé tht ty wu tién thye hign Fen trén hé thing giao dich tai Trung tam GDCK quyét dinh thyc hign lgnh hw sau: . L S6 higu lénh giao dich Ul. Thdi gian mm. Khéilugng TV. Mua Vv. Bin VI. Gid Dip a. 1, Ill, Vsaudé TV b. If, Iil, Vsaudé la lV c. 1, 1Vsaudé 1a V va lll dT, Vsaud6laIV vail e Vivall 13. Hign da c6 m@t 18 chic chao mua thaw tom mot cong ty. Nhidu-khach hing cla cng ty ban di gii dom chép nhén gid chio. 11 ngay trude ngay hét han-¢héo mua, ‘mot d6i thi vy tranh Khe da va dara gié cho mua eao hon. Cée thc, hang cia ban goi dign thoai cho ban, muén hiy lgnh 4a ky va. cid thudn gid chdo cao hon. Ban 6 tréch nhigm phai lam gi?a. Céc khach hang da ky hgp ding voi gid chao ban dau. Cé ddng ban cé phiéu khong thé thay di hgp ding vi cd phiéu da duge chao ban céng khai va chuyén giao tai thei dita ky hop ding . b. Cé ding duge phép hiy bo dang ky chao bén ban dau cla ho va chao ban voi gia cao hon, ¢. Vige chao ban nay bay gid phai chuyén sang trong tai dé quyét djnh d. Cé déng cé 20 ngay dé Iya chon chdo gid cé loi nht. &. Cé dong 6 thé thay adi suy nghT vio bit cit lic nao cho dén ngay giao dich cudi ciing trong dgt chao mua. 14, Sau ngay thanh toan, phdng ké todn théng bao véi ban ring khéch hang chi cd mét nira sé tién cdn thiét dé thanh toan giao dich ngay hém trudc trong tai khodn cia ho. LA anh dao cia cng ty ban phai Lam gi? a. Chi dinh phong giao dich dat lénh ATO ban cd phiéu trong tai khoan cis khéch hang ra, 'b. HOi nhan vién mdi giéi khi ndo khach hing ola ho sé thanh todn tién mua chimg Khoan? : c. Yéu edu phong ké toan khich hang g@i cho khch hing m9t Iénh goi ky quiyéu ciu khich hing thanh todn ngay Ip tire. d. Cho khach hang vay tién 48 thanh todn. ¢. Lién lac véi ngdn hang dé thanh todn. da: 15, Véi tu cich 1a gidm déc ctck, truéc khi ban chap thuan gidy dé nghj mé tii khoan méi cho mt cé nhan, ban phai yéu cdu khdch hing cung edp nhimg thong tin va ti ligu saw: I. Hop ding cung cap dich wy cé chit ky cia nguéi lam don IL. Théng tin vé muc tiéu dau tu, mitc 46 chép nhén ri ro cha khéch hang Ill. Théng tin vé tinh hinh tai chink, tai sn, thu nh§p cla khéch hing, cia vo/chéng khdch hang ‘ IV. Thong tin vé kinh nghigm va hiéu biét vé diu tu ciia khdch hing V. Gidy dé nghj vay tidn theo lai sudt thj trréng cita khéch hang Dap & 1 16, Théng thudng chi s6 P/E c6 xu huéng A, gidm khi lam phat ting B ting khi lam phat tng C, khéng chju anh hudng béi mite lam phat ‘D khéng chju anh hudng béi moi chi ws kinh té vim6, bao gém ca lam phat E khéng phwong én nio diiny 17, Loi nhuga trén mét cd phiéu cia mot cong ty ting tir 1200 1én 1500, cé tite ting tir 300/cp t6i 360/cp, va gid cp tng tir 7000 t6i 8000. didu 66 chime t8: a céng ty phat hinh thém ep b cong ty ct gidm tl 1é chi tra cd tite che s0 P/E ciiacp cty nay sut gidm dlgi nhuén ky vong giam e khdng phirong fn nto ding Dip dure18, Mt cong ty CK A 06 tng tai sin hign tai lA 700 ty ding. Cong ty CP B co vén ditu 18500 ty. Cty TNHH C dy kkién thanh lép voi ting s6 ‘von gop 18 500 ty. Cty B nim gift 4% cp tai cly CK D dang nitm yét trén SGDCK voi 36 on lg 1a 400 ty. cty Acd the Iya clon, xfy dymg phuong ém id ndo dia trén cdc heng mye dau tu sau. [Mua 100 ty co theo ménlh gid cha cty 'B va tham gia gop thém vén véi sb vin gép 1a 100 ty vio cty C TI Musa 50 ty theo ménh gid cite cty B v sh vin gép ld 100 ty vao cty C fit wus 30) dng theo méah gid cia ty B vei gid thi truimg [A 75 ty va tham gia e6p vin véi sO von gép 18 50 ty vao cdng ty C TV Mua20 ty ddng cp theo ménh gid cba cty D Dip & hi LIL hose IV 19, thi gisn do han binh quan cba tréi phidu ting khi ‘Agi sudt téi Khi déo hen ting thoi gian t6i khi déo han tng Cai suit cubng phiéu ting Det cd E khOng 06 phurong én ndo ding pip du: B : 20, Duong cong bang quang (cbr G9! ta duimg dBng btu dung) 48e trung ola mbi nha iu tu la dong ‘xcb thé xée dink durge mot cach chinh xe khong thé xdc dink durge mot céch chinh x: Gant da khOng thé xéc-dinh due mot cach chinh x40, dubmg cong ny cho phép nha win Ly danh muc daba tz thiét ké cdc dank myc phi hgp hon ‘cho nha dau ty by thée ja tr thi trong 1a 75 ty, tham gia gop von voi sit dung cic cong cy todn hee (bvac G the ca dbu khong ding Dip An: DNehi a cP "our b. Chimng Knol * ching, chi WF ava inh tal Nabi hi di nt a 30 nha dau tr oo nba d dau i jah L44/CP, path paoh chin so the chuyen nhuans got chug Kee gia cho: pale NUM aos th ir hod 1 . y, Toa eps : ¢. Dai ‘ie evel it ru wr pie Chava ¥ ¢.cab vac : poi voi fe doanh nel ap nh ne 8 pin hod vA trun, cig Kno‘ ee ign nem Yel ci phieu nto — mu diy duge wim ahe mn dieu le vo. Thi gian he prot dong 06 Fl ging A . c, thoi gia arn ket at niin se 6 phicu oaa(haah” vién hoi dng, quan tri, ban he dbo ban an Kiem soit “ty ie niin ait cia cae ¢0 dng ME §, ehire phat hans aye Wi j gian cam be Sadi git it hit 50% CP do minh 8 iru ke Ur Am nim yet Herve id dang quan tri, Bane! giam dc Ban hoi di wien sete cho con} am ty tem YI Nab.2nim ; | ¥ 3 nam - we sp 3,4 nam Cau 6; Phét hamh 08 phigu tn dau ra cng chang la: a, Chao ban so cép lan dau , Chao ban thi cp Hn-dau Vc, Chavab Cu 7; Phat hinh thém ¢6 phiéu ra cng ching Va, Lam tang von diéu 1é cla cong (Y b, lam tang s6 Iugng co déng cla cong ty c. lam ting vén diéu 1 va so Ivong cG déng cia cong ty Absing tbs diang aft bats ho cpp Bint Bete yy dBng cba t6 chire phat hanb cd phiéu rat Cau g: Yeu clu vé von didu 18 5 ¢ Gd duge tinh trén co’ sd" ig ching theo quy dnb tai Thong Ur a. Gié thi trudng Vb. Gié tri s6 sdch 9; % 16) da trén yin ty 66 md mgt td chitc bao lanh phat bank duye bao Janh cho mét dot phat hanh la: 220% ¥ b.30% c. 40% d. 50% hoan thanh dot phan § chit phat hank / chic phan phéi phai ay nhin duge gitty hidu ngay ké i ny Cfiu 10: A phi cd phigu trong thoi han bao liimg nhan ding ky phat hanh: a.'45 ngay 1p. 60 ngay Y o. 90ngay d, 120 ngay a Jd: Theo quy djnk tai thong tu 60, 75, vige xem xét hd so pat hanh hing khods ra cng ching duge thye higo theo hinly thite: ‘a. Cap phép phat-hanh / b-Ding ky phat hinh fu 12; Tréi phidu phat han 12 cGng ching ef thé Hi: +or aguye ah + gem v » 30 ngay 1 as nee Em | ‘G60 ngay fucb pntanena1 thang Y b,2 thang’ c.3 thang d.4 thang CAu 19: Thai han xem xét ra quyét dinh cap gidy.phép niém yét ctia uy ban chimg khodn nha nuéc ké tir ngdy nbn di ho so hop 1é a. 30 ngiy rs Y b. 45 ngay c. 60 ngay : d. 75 ngay. Cau 20: Céc t8 chite 06 cé phiéu, tréi phidu bj huy bé niém yét c6 thé xin a niém yét lai dugé khéng: v aCé b. Khong Cau 21: Lénh giao djeh tai mize gi kno lénh (ATO) 1a len: a. khéng ghi mic gid. b. Cé higu lye trong ngay giao dich c. Cé higu lye trong lan khép Iénh d. Uu tign thye hign trade Iénh gigi hi c. Uv tién thye hign sau Jénh gidi han £. Khong can ky quy g.a,dvaf v hacvie i, Tat ea (Ciu 22: Mite ky quy giao dich bén chimg khodn theo quy djnh hién hanh: a. Dép tmg fy 16 do chi tich UBCK quy dink Y b. C6 di sé Iugng ching khodn dit ban * 6, 6 tdi thiéu 70% chimg khodn dit ban d. Cé tdi thiéu 50% chtmg khodn dit bin “iu 23: Nha ddu tu duge phép: a. Mo méi cdng ty chimg khodn mét tdi khodn b, Mé nhidu tai khoan tai m6t céng ty ching khoan Yc. Ma mét tai khoast tai mét cdng ty ching khodn Ciu 24: Nha dau tu duge phép:a, Dat 1Gnb mua vA pan mot loa cé phigu rons tan khop 1enb p. Dat lénh mua ya ban mot Joai cd phiéu wong, ngay gia0 dich, vc. Khong duge dat énh mua ya ban mot Joai co phiev ‘trong ngay gt dich ay 25: COng ty chine khodn durge HEP" , = Giao dich ob phien 10 1° yéi nha dae tr the ‘yrGbCK , SP Mua CP 16 Fé eis nb hu tr vai gid tho than trong bien 49 qY ¢ «mite gid khop Hea tai aint (cbng ttt, 10%) «Bam cb phieu 16 1 cho aa dw ter vi gid tho nvan trong bien 69 quy dink Cau 26; Giao djch cia. c ding di bd HDOT, BGD, Ks, KT!) Adi voi SS phigu cba chink cOn8 © qurge thyc hign ki: ‘a, Bao cho DANE ¥ ho TIGDC! cyt ahige in eo ich 10 ngiy . b, Bo cdo bang van ban cho TIGDCK ngey 54 keh thure hign gi80 dich ¢, Bao cdo bang van ban va duge ‘TIGDCK chap chudn true 3 ngay giao dich | P eheg Oi pao odo bing van ban vA dugg TTGDCK chap thudn t6i thidu 10 gay wude nEay gi2° ajeh. . tc e. Khong can pao cao voi TrGDCK gga thanh vier duge phép sia 18i giao dich ki: hap sai enh va Jenh goo chera duge khop ap sai 1 ge 48 dug hop Yc. Phat hign shap ssai l@nh Khi enh goc chun duge kop va pha uit tinh Hénk abo v8 due “ETGDCK chip th “L Khong duge phép st 6 jens trong mol tone BER fiw 28: T6 chtte niém yét phai nop péo cfo tai chinh ném theo théi hen sau: se Chérn’nhat 1a 10 ngty 520 ‘hai hen hoan than bé Ao tai chin (qhdi ban hoa thanh BCTC nam cham nhat 18 90 ngay ke tirngey Két thie vam tai chi Yb, Cham nhat 1a 10 gay Ke th ng’y hoan'thanh BCTC nam (gay jpean than BCTC nam duge tinh tir ngay 16 chite ydém toan duge chap thugn ky bao c&0 iam toa). aCaw 29: Béi tugng nao sau day phai cong bé thong ti tin trong vong 24 gig ké virkhi sur kign xay ra: a. Té chite phat hanh b. Té chite nigm yét ¢. Céng ty quan ly quy diu tw chimg khodn 4, Cong ty ching khoan ebvac Y £. Tat ca . g. Khéng c6'd6i trong nao Civ 30; TS chic nio sau day o6 nghifa vy eéng bd théng tin vé chimg chi quy dau wu tu chimg khodn niém yét tai TTGDCK. * a. Quy déu ti CK Y b. Céng ty quan ly quy ¢. Ngan hang giém sat Ciiw 31: Chon nhiing ‘cu ding nhat vé Té chite kinh doanh chtmng khodn nude nude ngoai hoat déng trén Jénh thé. Viét Nam: a. Duge thanh lap dudj hinh thirc cong ty 6 phan b. Duge thanh lap cong ty TNHH 100% von nude ngoai c, Duge dit vin phong dai dién khi duge phép d. Buge thar gia gép vén, mua cd phan, g6p vin lién doanh than ip cong ty theo ty 1é g6p vin do tha tiéng quy dinh c. Khéng duge dit van phong dai dién £ Duong nhién duge dit van phong dai din ga, bvac hbyac Vv ievad Cfu 32: Cic loai niém yét nao dudi day mang tinh chat sép nhap va thau tém cong ty: a. Niém yét an dau b. Niém yét bd sun c. Thay d6i niém yet a. Niém yét Igi Ye, Niém yét cita sau Chu 33: Hanh vi nao sau day khéng thuge hanh vi Iting dogn thi trudng: a. Stt dung théng tin ndi b¢ dé mua hoge bin ching khodn trude khi théng tin do duge céng béoan dé kam thay do) cug et bv Tien dong dé mus pin chien KN chiang kho® c. Gia! po dich chi me chong, tude oe gp itu cv sh Loi kéo neue na tha gia BH 29 dich img Khoan cau 34: NHN vien oan ue chap thuan hi Kiem to Sug sy XYZ vain neh phigu cha COMB 7 vi con, ty may how angina qui. V8 ort ¥ cia ain Vie ‘akiem toon Mauge han ¥i8 a. Ling ne in thi truss vb. ‘Ge 6 noi git c_ Ban Khoo “4, cons PO ‘hong tit pPGDOK duce iB ete tui Hinh thie: 1 chite ty ae pon vist ee co tw ich obving Erode pie yertal yrapck. phai c6 ee thong bio Kt 8 gjao dich che yop Hen V4 enh mua, BF Jntmng koa? eh kes ryan aT yGDCK. thy hide CK ¢ nhgn duoc wien ai xhoin, OF aovhg thong Bi80 oan (neue mua) hove Nha a0 (wast dey au 3 ney Ke EMERY giao oh CTCK thong b4 year quid eho a 3 dau 0 sprint ty ef DUE tren Tab, d¥Re fae DE Wwb2cdve VW. bi cs 0veS vy, Kehng 66 Pune gn nao a0 Cau 37: aCe K dang ten gié, 0% ob ph by XYZ ting, gid Hien qua niee puts vin nén khwyén Hp hang cia nh Ye ua ngay cht ng kiiod xyz vi dy ign con tang BP % ‘pana gay & hi i k08 fan XYZ vi 68 tan yen din ¢. Khong, nén ve bs giv thy wens jehong On dinkY d. Chi cung cap day dii théng tin cho khach hang va dé ho ty quyét dinh mua ban...” Cfiu 38: Nha dau tu mi tai khoan |uu ky chimg khodn tai ngan hang Iuu ky! thi lénh giao dich chtmg khodn sé dit tai: a. Ngan hang Iitu ky b. Ngdin hang chi dinh thenh ton Yc. Cong ty ching khodn Cau 39: Cac 16 chite dau tu (NHNN, NHTM va cée 16 ehite khac) duge phép tham gia dau thdu, dai ly phdthanb, va bao lanh phat hanh tréi pl chinh phti duge mé tai khoan Iuu ky tai TTGDCK, khi giao dich trai phiéu thi phai dt lénh tai: : : a. TTGDCK b. Ngan hang liu ky chimg khodn v &. Cong ty chimg khodn Cau 40: Té chirc niém yét khi giao djch cé phiéu quy, chi duge phép: a, Mua lai khéng qué 25% c6 phiéu cita 16 chtic niém yét b, Mua Igi khéng qua 30% cé phiéu cia 16 chttc niém yét c, Thy hién trong vong 06 thang d, Thyc hién trong vong 03 thang eavic Y fbvad u 41: Ngubi tha tém khi thyc hién giao dich thdng qua chao mua cong Khai, phai dap img cdc yéu cau sau, ngoai tr: a, Béo cdo UBCKNN it nhat 10 ngay Lim viée tuéc khi chao mua b. Thyc higri chdo mua khéng dudi 30 ngay va khéng qué 60 ngiy c. Huy, chao mua théu t6m khi khéi long chao ban vugt khéi hugng chao mua, d. Thyc hign déng thoi chio mua cOng khai va mua qua dat Iénli giao dich tai CTCK ; ¢, Dit gid chdo mua thap hon gid déng ctra wén TTGDCK facvad ¥ godvie Cu 42: T6 chite, cd nhan nim gitt hodc eting lién quan nam gid tdi 5%, 10%, 15%, 20% vdn c6 phan ita m6t td chtte niém yét va moi khi c6 giao dich lam thay déi ting, gidm cac mite trén, néu khongvane 3 PS 8 {cong Vane 30 nei , wera nye” yam theo che ran co o, duge HOS tron halt ¥ a.Ba ib, Khon! ai ban 13: a pute oa av auge prep UE gon ching KHO8P khong, guy piew an oh gop YO") yarn : Ngutl panh neh ne Kind & ah Wt Nf 3am aim Bc ogc gine s8 ren 570.08 § phiéuc? noe at toc sso pst han hn (nego sue am dai acto chute io “at han! nh not cTCK them gia uty howe so roan gia di ihisng KB ‘an cho min wai CICK OH “olga mvige chon! get cin gi00 dich wee rear i phep th chit goat ego wnat BOP: an ban VO vena hae VE gino dich chimg, ca aC “Ky hop 6" ng bane Y 3 tinh hin vai chinh VERE aio t ah m ‘pr ca coat done 212° aich mua b c. (ngo2 phive img theo qu inh), a ase yaiai sen apy 6 gp cho V4 ya bao tanh cae Khoin VOY e,avac v f.ovad48: CTCK va nhin vién céng ty khong duge phép, ngoai tri: a, Lam tréi lénh giao dich etla nha dau tr b. Khéng cung cap xac nhan két qua giao dich , Dau tur vao CTCK khae “4, Tach biét host dng kinh doanh cia chi sé hou céng ty voi hoat d6ng kinh doanh cita CTCK Cau 47: Hinh thée phdp ly cla CTCK theo quy dinh cia phap Jugt Vist Nam la: ‘ a. Céng ty TNHH va CTCP b. Céng ty hop dank c. Céng ty lién danh ¥ d.Chavac Cau 48: Theo quy dinh cua phép Iuét Vigt Nam, cde CTCK dutge tién hanh ogi hinh kinh doanh ching khodn sav, ngoai tri: a. Méi giéi b. Ty doanh Yc. Quan ly quy dau tr ching khodn d, Bao ldith phat hanh ching khodn mats da Cau 49: Dudi day ld mét sé chite nding chinh ctla CTCK, ngoai tri a. La trung gian gitta ngudi dau tu'va t6 chite ni 7 b. Cung cap tin dung cho khach hang c. Thue hign Jénh mua ban cho khéch h . 4. Tu van dau tir truc tigp cho khach hang Ichi ho cé yéu cfu Ciu $0: Theo quy dinh hign hinh, mét CTCK muén thurc hién vige bao Jin phdt hanh ra c6ng chting phai dap img céc diéu kign sau: 1. Cé gidy phép hoat déng bio anh phat hanh Il, Cé gidy phép hoat dnt; gr doanh va bao lanh phat banh Ul Cé phurong én chao bin chiing khodn ra céng chung kha thi IV, Khéng phai 1a nguéi o6 lién quan voi té chirc phat hanh Phuong én a] vail ¥ b.TvalV ce. vAIV I, UL varv 10Cau 51: -r8 chite kinh doanh enimg khoan nude PEC anvan thy KigD inh Se chime koa & Viet "Nam duge phép 18p: f chai nbvan tat Viet New §. CICK 100% von nee god ©. CTCK lien doanh ygi di tae Vigt Nam theo ty 1¢ 20P vor 30% von dieu If . ¥ 4,CTCK vigh doanh vei doi the Vigt N apy von dia Ie a noi da am theo ty 1é 86? von toi da 1 cau 52; CTCK phat rien oye duy td mie ver kha dung: ‘a. 8% tong tai san | © ing 8% tren one.ne OF aigu chink 7 thigu BY tren ONGNS da diew chink Yg. Toithida 5% trés 098 "7 digu chink i 53: Hin tc pido Wweia céngty ai" ty quy theo avy dinh cia phap a © CTCP hose CTINHH, b. CTCe, CTTNHH hoie doanh nghigp 100% vor nue ngoai c.Doaah nghiép ha nude yg. CTCP, CTINHH bole cong ty lién doanh + Ching chi hinh nigh’ kinh doaoh ehimg khodn 06 8 th Trong vong | nam ka tir ngay 8? “yp. Trong vong 3 nam ngay cp ¢, Trong vong 5 nm kd tieneay Op ¢, Khong thoi han caw 55; Dudi day | cfc digu kign ag mgt cf nha 1B cng dan Vigt Nan Gage cfp ehimg chi han nghé kink doank chimng khoan, ngoal Ut «cb nang bye phép |Y wanda lye han vi dn S¥ ¥ by Phhal La ct nan inh té bo Lat o, Coda cae ching chi chuyén mon vb kin doanh chimg UBCKNN cp d. Dat yeu cfu trong ey thi sit hgch do UBCKNN t6 che Khoi do i so quai day deur UBCKNN inet ify phép host dng ha ig chime Khodn, ngoal. tt a. Coe CICK 48 duge cap aidy phép inh doanh chttng khottt p, Cac NHTM oat dong tai vigt Nam 4hlap Fi duge phép hoat dong tai Vict V¥ ¢. ited cdc t6 chire Un dung thanb @ Chi nbn ngan hang nude ngoe! Nam ju S13 Cac CTCK duge mo ta kchodin liu ky tai: a. NHTM duge cp phép oat dong, hukye ¥ b. TIGDCK é Ngén hang chi disk thanh toan Td chife phat hanh ‘ Inimg khoan Cu $8: Vige hinh thanh quy he to than toin nha : a. Quyén gép tién tir e€e thanh vién Kip qu mua bin ebtng khosn ” him binh 6n thi trong eae than toan thay cho thanh vign Tw toan ¥ tam thai mat kha nang thank c. Kinh doanh chime khoan dé bt dip chi phi cia cde CTCK trong hai 46 day déu sai { 59: Cc dbi tugng nio duoc phép tham gi thank tofn Db trit gino dich ring khodn tai Nan hang ci inh thanh tofn: 1. Cée-CTCK thinh vign {1. Cac NHTM duge cp phép lim thanh vién hn ky TGDCK. cc nba dau tur 6 16 chite al b.tvadl ¥ c.A, teva fi dd valv ddim bao nghia vy ndo trong cfc nahin i tin vé tinh hinh ti chink v8 mue tiga Cau G0: CTCK khéng pha a. Thu thap day di thény eda khéeh hang i. Quin Iy thi sam cia khich hang tach bigt véi tai san cba cong, LY ¢ Bio mat théng tin cho khach hing Yd Giim st vige tan thd php Indl k hing, hi dau tur ching khoan cola khach + phat git co que adn BY nhs nude ede bio edo dinb #5 hig ti who co hot déng kin doar hing ting b. Bao efo tai chinh uy Ve do edo tai ebinb mize niin : od «pao edo chin hing man e6 x4e nhin eta 6 lap vs) "3 : ld cdute kiémm tovin doethu nbapsthen hogt dony eo Duge quyén bi? quyet ti dil fidi cd déng, ching. (thi trvdng, Kang hoe gidim, pién dong magnh nha phigur Xi hin > cain ew etia ty Lruding, én 1 O 3 phigu thutns Caw 3: Ai Hi ngut dey ue 1. Ca dding neing 11, (6 dong uu ti yén scr hia trong eng LY BCau 11; Muc nagitrong 36 cae khodn mye sav khong phai a yév 16 co ban trong hoo dong quyén'lua chon? @ Cé phiév.* b. Gid thye.hien c. Ngay phat hanh d, Ngay déo‘tian . his yéur dén ali ro véz 1 12: Cée 16 chite dinh miéc tin nhigm quan tim 6 @® Giim sic mua * b. Bién dong gid thj trubng (Ey Mit kha fang-thanh toin ‘ & Mat tinh thanh khoin cay E ng mot cong ty o6 ty Ie 0. Thu nhgp wen «ia Caw 13: Mot nbd dau urdoc bio vit nbn th tha nhap la 8 va gid'cé phiéu wen thi trubng 1 $30 cia cong ty sé-vio.-khoang: ; a $2.50 he Suis OS) + de $30.00 6 phigw "ay 14: Mgt cong ty phét hinh wai phieu chuyén di Th 1.0008. vi Gisce raua'ban tn thj eng voi gid |.1258."Trdi phigu dé durge chuy é sang 6 phigu thuéng véi | 2.51% 6 phigu, Vay trai phigu chuyén doi dd due d6i think bao nbigu 66 phigu thing? 80 0 4 ed phigu (EPS), thang tin nie ? (aw 15: DE tinh toan trong so cae thong tin sau khéng nflal hist phitl @) Thu map tide thu b. Thu nhgp sau thie ©. $6 lung €6 phiév Ivy hanh vio thé ¢ ém cucr nan fae CA vi Bde dl @ Gia vi B dév khong dingCaw 17; Nha diy or du ty v80 66 phigo thutmg wi IY 40 m0 one cc ly dosau: De nhtn dug 6 we 1 11. 7 2Be thu duge Jai von II], Co quyén biéu quyé i tai Dai hoi ed done a iva - iva Ul imen g — iva Hl : seat dinh sau day, nbin dinh nho hi 9 fi no chi bin efc chiing Rhosin 9 Thi trv’ thi ei to tin than Khan eho ee cc phigu de © Th tnvdng thit ep to cho ngudii sé hi ch khoan co hoi dé pit ee + in dau we wedi eiiu uw sip xép fai danh mue d GE Thi wudg,thit ep cho phép ee nh ho. PRS inh ra cong ita phat hannh'rigng 1é vil phe 16 huy dong von bigt quy, . bier del twong va pham vi eda quia |¥. bigt Ioai chang khoiin duge phiit han, sin bid! hinh ‘thie bain chet odin: bin b ny hay bein te. php shad hay of thé y sinhiny ign edit mot vaj cong ai ca mot cNE LY phigu wu cl hig mir ni ro duige phn Kin 1. “Trong cde ‘lily Chung, dieu K ano Ta quan tegng alk C6 ban Gidm de dieu hah t6t b. Cé sin phiim nbi Geng tren thi wong c. Coty Ig ng wen vor hop ly Quy mo Gn vi ket qua hot pani Khi pli 4nam hign hanh, cic t6 chtte duge phép phat hanh wai 23: Theo phap luat Vi phiéu sot 2. Doanh nghiép.v nhan Cong ty c6 phén va doanh nghiép nbd nuée 6/ Cong ty tréch nhim hiv han, Cong ty ¢6 phn va doanh nghigp nha nude 4 Cong ty 6 phidn: nani, trong quy dinh vé vige phat hinh chtmg khodn ra cng ching, thi ty 1é chime khoan phat hinh ra bén ngoai wi thiéu phiii dat 12: a, 30% b, 20% hoc 15% 20%. 15%. Cau 25: nay-& Vigt am phuong thée bio lah phat hiinh ching khodd ra (cong chting duge phép 18: : ° @ Cam ket chéc chin Ci ti da: - hoac khéng phwong thife trén dt cong ty c6 68 phigu wu dai khong tich luy dang lew hinh duge ui ed we hing nam li 7$.Nam trude do hoat dong kink doanh khang ¢6 ai, eon ng (rd cé tue, Naim nay, néu cdng ty tuyan bd wi ed aie. e8 déing wu di phiéu nay sé nhan duge bao nhidi 78 b, 10S « 14S ud. 205 khor Cau 27; Trong thoi gian UBCKN: phigu cita cong ty 6 phin. co 1. Té chuc quing edo true tigp hay gin tiép vige chao mai céng chiin muta eé phiéu hay wai phigu, 2. Siedyng théng tin ong ngiy phat hanh vi gid ban, dé tham dd thi tug 3. Cho cine ching b dy phiit hin ra cong chine 5. Sirdung ede phueing ign thing tin dai et a, Chico 3, ® chicd2. c, bvad dL Rvid “eat Caw 28: TS chute phat ‘hanh bj dinh, chi hgp sau, SPE ihn thyc hign vige bd sung, site dinh-cua Thong @.01/UBCKNN. —* 2, ‘TS chiie phat han vi pham phép luat, vi pham cilc Quy dinh vé chimg khodn va thi tevong ching khodn gay thigt hai nghiém trong che aha ddu we 3, Tai san ca t6 chic: phat hanb bi wn thé bi phong ta, bj tich thu ¢6 gia tH twang: dyong: L0%itt6 1én gid. ¢8, ahiév hose trdi phiéu duge phép phat banh. ~ a i gify phép phat hanh trong nhing. trong i gid ; gi hé so xin phép phat hanh theo quy ‘i MME tidu niém yét elis ede 16 ehite phi hanh chang khodin rac y. Tr@ tinh cone ty dai chine - ng wong vide huy Jong vou tinh thanh Khoan cho cic chitng khesin . vige thay tm vi sip nhap . wv Chi2 b.CA2 va3 v4 123 d. Cad cau. hting khoiin eds mot cong ty. nb phi wich i Can 29: hi phiin tich ky thi 36 cae chi, tigu saue jqaaat tam hd ti chi-tiéu no (ror a, SO lugny ching khodn giao dich "Ty lé ng wen ver 6d phan. % DG.thi biéu didn si i d6ng eta ching khoiin d. Gav giao dich’ khon: nay & Vist nam. Uy ban ching khoan nba aude qusin Lj: Can 31: Hi 3. Vide phiit hinh chang khosin : bh, Wide phat hinh ching Khosin ra cong ching dé mien vel © Vige phat hinh ching khodn ra céng ching «Vide phat hiinh chifag khoan etia Chinh phi Vidi aun, khi shan vida ding Ham vige y dinh higo hanh ty ep vee che mdt otn a khosin mudi di chuye 42: Theo ede q che mel cong ty chit ceduing khodin Khe thi : a. Anh la ghii Nin duge efip lai gi he Duong nhign duge sie dung gidy phép o esp, ms fy Cong ty ching khoin noi anh ta den Jan viée ph sity phép hanh nghé tho anh ta.» hep hint ong x a vim thi (ye ain cap la 6Le 8 dng 1 22/08/2001 ( Cau 33: ThYi gian thanh toin 1A T + 3 va ngay U6 ingly thet Ur trong twdn), biét ring mot tun trung {Am gino dich chi lam vite 5 ugiy, nay giao dich khong'o6 c6 tite HA: a, 16/08/2001 (0) r08p001 c. 18/08/2001 “ d, 18/08/2001 ai xudt Urn th teudng Ling gidin cima cd phigu © Tang b. Gidm ce. KhOng thay ddi ad. Ting gap doi Cain 35; Ngaia vu nto sau diy (huge nghia vy ciia thanh vien wung trong giao lich eluting ‘chosin: a. NOp bao cfo tii chinh 6 Uning b. Déng gdp hé tg thant tov. 20 dich, ph sir dung hé thing giao dich c. Nop phi thanh vido. Phy io cfo ki Gidm dic hog nhan view kinh down eta thinh vign FA doi tugng chin sv’ didu tra cdta co quan Phidp Luge hoe chiu sue phan quyGl eita to’ dn yet tai trung (im giao diet Can 36: Nhiing ching khoiin nto duge phép 1 cling khodn. a. ‘Trai phidu chinh phii b. C6 phisu cua ede doanh nghi¢p thye hign cé phfin hot c. Ching rhofn cia cfc doan nghi¢p di duge UBCKNN effp giddy phés phat han! ra cOng ching ( ciante Cau 37; De lam thank vien cia (8) 6 gity pgp hoat cong kil coxnd ching Klis &) Co pity phép hogt dong mdi gid hove tr doanlh c. Tinh hin (i chin Kink manh, 66 dit co so vat chai, KF thudteva naan, ‘rung (Om giao dich chitng khodn edn phil vicnsvi ede finh vue kin downh d. Ding kf-tru 88 chinh va vin phdng Lam vi voi UBND thanh phd. Cau 38: T6 chic niém yét phai cong trong vong 24 gid ké tit khi xAy ra sty vide: a. T6 chtic niém yét nop dom xin huy bo niém yet b. Lénh phong toa tai khodn tia td chife niém yét da duge gidi tod dinh bin tai sin c6 dink €6 gid tri er 10% tren 1g b.n0i dung sy vige ndo-siy-ra sau day TS chite niém yét quyct tng s6 t6n cd phin we len ot ra d. Tat ed cde ctu wen déu ding Cau 39: ‘78 elute nidm yt va cong ty quin If quy du tr e6 nghia vy eng b6 thong tin nio duéi day a. Cong bé dink ky b. Cong bo tte, thai. c. Cong b6 theo yeu cau d. COng b6 ede nghia vy néi Wen Cau 40: 16 chtic phat hank xin ding ky niém yét cl ban-Chiing khodn Nha auée edp phép phétshinh hose 16 ehuic o6 jam:y6t lai phai dap tng hitng khodn sau,OL nam ké tir ngay duge UY chimg Khodn niém'yéf.bi‘huy b8 niém yét muda xin ni ede digu sau day: : su. Mite vn digu 1g 16h thidu fh 10 Uf ddng Viet Nam by. Hay ddag kinh doanb €6 Iai tong hai nam Lien tye ga nt vin din aghy ain phép niém yét hoae niém y6t lai da kiém todn d6i véi béo edo thi chinh cha hai nam hoat dong ©, § kia gn neti 1A\“cha’p nhgn todn bo * hoge “ Chilp nha e6 ngoal tt” dl, Ch ba didu kign tren cau 41: C8 dong thigu sO theo quy dinh eta inatmg chitng khodn taf Vigt Nain Fi Bat kj ngudi mo niin gitt ed phidu edi (delat pli ah ty. Nau nde, git dud 1% bit ky Logi e6 phidu nto eta 16 chéfe phat hin ce Newt thm, git dudi 1% o8 phicu 06 quyén bidu quyét ctia 16 chite Phap lua vé chiding khodn vi thi pt bn g 3d. Ngudi nim gid dudi 2% e6 phiGu ciia cong ty od phan Chu 42:"Thi trudng ching khosin so cp a, Noi mua ban ciic logi chtng khowt b. Noi mua bin cfc Jogi chiing khosin df phat hinh Nei ofe doanh nghigp,huy dgng von trung va di han thong qua vide phét hnh ching khoan d. LA thi tudng chéng kho‘in chura phat tidn Cau 43: Theo quy dinh cda Phip luge Viet Nam. Cée cOng ty chi khodn dye chat omg ligh hinh mOt s6 foai hinh kink doanh chufiyg khan sau, ngoai, tnt: a. MOi gidi b. Ty doanh (E) Quan ly quy edu us ching khosin d. Bio Linh phat hanh ching khosn Cau 44: Theo quy dinh hign hinh, mOt cong ly ching khodn muda thye hign viée ik Into Kink phat hdnh ra cong chiing phi dap tp d 1 C6 gly phép hoat dong bio Huh phat hiinh Il. C6 giy phép hoat dong wrdoanh vA bio [inh phat hinh TIL. C6 phuong dn chao bin elitag khosin ra edug ching hi thi IV. Khong phdi nguiri o6 fign quan vii td chic phat hanh, a. DvAlll b. [valV (6) tivalv (WM v Cau 45: Co phigu ABC nigm yél tai TTGDCK 6 intte pid tham theo quy dink hign hinh obo at 51.700 widi ban thay déi gid trong phign giao dich li 7 nahicu mite pit durge dit: a 13 i teen eu saialle Can hoi phan bai gikag odin bit trie eh ling kf cluiese khodn“ " Quy ché lieu kj, thank ong che Ai Wweng duéi day khong duye sul; Nhting 461 wong no URCKINN xét cap gidly phép hoat a. Che cong ty chitirig Khoi d dong lu ky cling Khodn due UCN effp gy php hint oft doanh ching k bh. Cc NHIM hoat dong tai Vietnam « avab @ Tait ci cae Udi twgMg Khong thude vib BCKINN yt cf s6 Jang nbvan vin nEhIED we hau ky doi vii Ung “TVLK phai dim bao: a. Khong qué 2 aguiti b. Chi cé hai ngudi c. Toi thidu 1A 2 ngwi ji mdi chi nbd -VLY, vajliiic 2 ngudi te nbd shu hign nghigp ve kaw ky. nga TVLK ding kg cho chi i khoan fiw ky chiding Kho‘ Me ‘Tai khodn ching khodn giao ich, Kdhoan tam ning giao dich ©. Cie tai khodn L.abvic @) bao fim a, by 6d) & ah AlCau 4: TIGDCK'chl nhgn Juu ky nhtng loai chiing khodn no trong cdc loai dui day: a. Tat ed ode Joni cd phiey, ii phieu cia 16 chic phat hanh b. C&e ching khodn dugc phét hanh theo Nghi dinh 48 ©. Cée chiing khodn duge phéthinh khong theo Nghi djnh 48 di ding ky Jai dé niom yet Ky bvac Cau 5: Thanh vier luu'ky phai: t8i khodn Iuu ky ching khoén cho khéch hang cia minh teh bigt v6i tai khodn law ky chting khodn cia chinh minh dé hach todn vite giti nit, chuyén khoari'éhiing khodn . b, MG Iai khiodn! tau ky ching Kho&n cho khéch hang cla minh chung vi thi khodn hii ky ching khodn cla chfah ininh. Cau 6: Trong nhting td chic can aj 1 ngudi lap Bio cfo phan bé quydn cudi cling cho khéch hang er D. c. TCPH. 7; Che ening khoén niém yel mudn duge giao dich teen TTGDCK phi: hw ky tfp tiung tai TTGD b, chi Jiu ky tai TVLK ¢. Khong phai liu ky tai TYGD hogeCu 8: Phuemg the bu uted phucmg duige ap dung cho: a. Giao dinh 16 én b, Giao dich 10 chin ¢. Giao dich 10 1é d, Chavic (Qaavrd Cau 9: Quy nO trg thank Loan duge quan Ly boi: (&) Trung am giao dich cling khoan bp. Ngan hang ei dink thank tof c¢, Cie TVLE, Quy 6 try thanh tosin doe d6ng gop nh sau Mite déng g6p c6 dinh 120 trigu 46 tat ch cho TVLK 120 trigu d6i vei c&e TVLK 18 cone ty ching, a ngan hing thong mati a b. Mie déng g6p €6 dinh hos vi 80 trigu di voi than vie Tee Kyl au d6i vai ttt ck oe TYLK. Mae déng gop 06 dink 18 80 tri dk Mie déng gop hing wm DAN (0.008% dosh $6 gino dich 6 v6i TVLK @)cinvad g trong hop thank. vier luu k cdc giao dich 6 nhue sau: ca “Tron; y khong thanh todn tién trong thei han au 11: quy dinh LEGDCK chu tin thanhy ia déu theo ty Ie d6ng gép ca cf thinh ¥ gop cia TVLK vi pgm, v6 vin chusa «bt jen ‘Yrich quy h6 ty sch qu h6 tro tir phn d6nh sé trfch tx khodn déng, g6p eta ee TVLK khée theo ty 16 d6ng Bop Ve guy cia ede TVLK 43 3Bai tap 1. C5 05 thanh vién low ky, trong dé c6 03 cOng ty chting khodn va 02 ngan hing lu kj. Trong nam déu tién, quy hé tre thant ton duge hinh thinh We ngudn déng g6p ban déu cha cfc thanh vien lu ky, chira e6 phdn déng gdp theo doanh s6 giao dich. Ket qua bii tit chi ra mot cong ty ching khodn phai giao 180 trigu ddng, nhung trén thi kho&n cia cOng ty dé chi cdn 20 trigu déng. Trung tam giao dich cing khodn quyét dinh sit dung Qu h6 try thank ton dé thank tofn thay cho cng ty ching khodn tam thai mat kha nang thanh todn. a. Ban hay cho biét tinh ty trich quy duge thye hign nlurthé ndo, 86 lwgng trich tir phn déng gép cita cdc thinh vién Inu ky 1a bao nhigu? b. Lai phat 5 ngdy dau trich nhu thé nio? va cae cOng ty chitng khoan, NHTM cluge huréng nhu thé nto’ c. Lfi phat trong 3 ngay sau (ngay 7, 8, 9) trich hur the nde? va esie cong ty chving khosn, NHTM dive hing nbc the ni 2. Ket qua giao djch su mot phign gino dich tai ‘Trung tam giao djch nher sau: a) Ching khodn XYZ: gid thu hién i, 10,000d/e6 phigu Cong ty ching khodn A: Lenh mua cho khéich bing At 1 1200 c6 phig; Lguh ban cho chfah edng ty 18 200 c6 phidu; Cong ty ching khoén B: Lénh mua cho khich hing BL 18 600 6 phicu; Lénh mua cho chink cOug ty 14 200 66 phiduy L¢nh biin cho khéeh hang B2 1 300 ed phidu; Cong ty chitng khofn C: Lenh bén cho chinh cong ty ki 1200 4 phidus lyLénh ban cho khéch hing C1 14300 6 phicu, 1b). Ching khodn MNF: gid thye hign'20. O00d/e6 phiéu ty chting khodn A: Lenh mva cho khéch hang A214 300 of phigu; Lénh ban cho chinh cong ty 12 100 c6 phicu; = Cong ty ching khodn B: 1 bain cho khach hang 12 18 150 66 phic: 1 cong ty 1h 150 66 phic; Lénh bin cho chin - Cong ty ching khoan C: Léa mua cho khdch hang C2 18 200 6 phie' Lani bén-cho chinh cong ty 18 100 o6 phie néu the hign phirangy the bd tt da phucing th 30 Sng ly ching khodn phdi giao fg vide bi trie thy hign tgi TTODCK khiong phan bigt thye hign cho khéch hing. Ban bay cho biét » tién va mdi Toai ching khodn ma cdc Ign rong ft bao nhiéu bi enh eda cong ty thyc hign cho chin!s minh hay ATBai gid: 1, Tico quy dinh'tai Quy ché Inu ky, thanh (on bd ui vi dang ky ‘ ching khoan, mic déng g6p bai du cia ede thanh vién hau ky vio quy bd to thank todn J 120 tigu d6i véi cong ty ching khodn va 86 trigu déi vi ngan hang hru ky. 2.,Do quy h8 trg ban dau moi chi dug: hinh thiol tir khoan déng gop ban du eta céc thinh vién luu ky nén hign nay Quy hé te thanh toan 66: 120 wigu x 03 cong ty CK + 80 trigu x O2 ngan hang luu ky = $20 wigu. SG én cOng ty chiing khodn phai thanh todn 1 180 uiéu, én ti khoaa cia cOng ty chi cdn 20 tity, nhu vay cong ty cin tiga 160 wig. Do cng ty tam thd mat kha nang thanh togn non TTGDCK quyet dis.h wich quy hd ug thanh todo, + Theo quy dinh vé vie sir dung quy hd tr¢ thanh loin, TIGDCK sé trch sd tién tr quy b6 ug thank toan ty phdn dong gép cha think vin vi pham thanh toda, néu van chua di thi sé wich li¢p tir pln déng gép ctia cde tinh vien khae ty I v6i phan déng gép cita cae than view liu ky. Do dé, trinh ty trick quy uli sau: - Sir dung 36 tidn ding gép cba think vién vi pham thank todn: 1201 iu, quy hd trg thanh todn cda 520 - 120 = 400 trigu. ~ ‘Tang 86 tién wich t phdn dong gdp cita thin vién kite: 40 wigs MOt cOug ty-chtiag khodn (40/400)x120= 12 wigu + Mot ngan hang thuong mai (41400)x80 = 8 wigu, abi Ja: rong 5 ngay dé 'g.000.000-4 tb. Tién phat TVLK phi 160 wigu x1 x 5 ‘Tiga phat thu ex TVLK vi pham duge hach tos yao tai Khon ob “| VLK theo ly Jé wrong Ying voi sO tiga da wich tir Gi khoan dé dé hd ug. Viee Ihach todn thu hign nbs sau: - Hach tofin vao chink tiéu Khoda cia TVLK vi phram: . 120 wigu x 1% x 5 = 6.000.000 4 . cong ty chang Khodn ho a uo, mai iéu = Hach todn va tig khoan cia hai khoan 1A: 12 wigu x.1% X9= 600.000 d khoan. fin cia hai ngdin hiding 1h Ky hd ug, mai ui 1 todn Vio tiéu khot g trig x 1% x 5 = 400.000 d cc Vidn phqt TVLK phil td wong 3 ERY tigp theo 1a: 160 wigu x 6% % = 28.800.000 4 VEK vi pharm duge hil toast vo GH chon d6 dé hd ted. Vide yidn phat thu wT n dai Urich tir thik TVLK theo tf ach todin thye hjén nhu sau: yong tng vai sO = Hae tofn vio chiah tiga khodn cia TVR vi phamt \ 120 vidu x 6% x3 21 G00.000.d he ut«Hach tofn vio tidy khoin cia hai ebng ty ening khofn jo trey , mdi Ge khoan ia: 12-wigu x 6% x 3 = ~ Hach todn vio tigu khoan cia hai ngdn hing, 8 vigu x 6% x3 = 1.440.000 d 60.000.4 Juw ky hd tre, indi tidu khodin liz 2. Ket qua bi uirnhu sau: a). Cluirag khoan XYZ: . rol : - Cong ty chiting khodn A duge nhan'l000 o6 phic; = Cong ly chting khoén B duige nian 500 66 pict - Cong ty cling Khon C phti giao 1.500 e6 phic bb). Chung kho&n MNF; - Cong ty chiing khodn A duge nha 200 ed pl - Cong ty ching khodn B phai giao 300 66 phic; = Cong ty obving khiodn Cdurge align 100 66 phic eg), Ket qua ba tri ida: - Cong ly ching khodn A phai gin 14.000.000d Cong ty ching khoda B 1.000.000d = Cong ty. ing khodn C duge nhgn 1500 x 10.000 -1¢ 10 - 1000 x10,000 - 200: x “20. 000 = duge nhan -500 x 10,000 +300 °3, 20.0000 = H oi x 20,000 13,000.000dee hate Gong don cng dn ban fl 4_|___4.600 4,400 4,400 Awa: Ba: Dawa: E anua: Fmua, $:200 R100 rico Usso0 7-900 mie imua: 7400 Téng: 1900 tau 2: Xe diab gid ind ctta Céng dén ban| Bin Mua cng dn mui [Cotenm [AT asco] sneco ™ 3.200 200 8 | 200__| 10.100 so | 8 3.200 Te [so | sea | soo | 8 3.100 ay 1,900 | 0 400, 10,500, 800 £. 2000 E 700. a F R 5 | st Bui R100 0100 0:30 ‘ 0:30 100 e700 nur vy it and ea te 10,700 1507it toi mite git “a Thdp hon gid thi trudog |. cao hon gia thi tnrng. ching gid thi tudng duty vio quyét dink ca nha dau tu anh ding dé mua sé 88t tal mde gid: a. Thip hem gid thi truéng oh, cao han gid thi rung « bing gid thi rung d.wy vao quyét dinh cia nha div tw 3. Muc dich cia léah ATO.Ji a. fing gia kg Ken, nig khdi hong gino. dich «. pkiun gia kop lénb dl. pidm khdi lugng.giao, dich 4. Lénb ATO'la leah duge thue higa a. ude len gidi han b. si Mga gidi hea . 5 pay 1. 1.2005 MOL nha div tw mua 100 cb phigu ABC voi git 40000déng/CP. 1 5 qu} 1a 50%, Dén ngéy 1.5.2008, wi 8 phida ABC uing ln 470000/CP. Gia si nha tur nay bin toin b6 $0 08 phiéu AB 6 va trong thoi gian nay céng ty ABC kciig Gi Wet cd EVE iti ae 40% be 15% 8, 75% 6. Theo on ché hoat dong cba quy dau tu md this . 1 Whi ola tu kbng duge quyen bin Ini chirng chi quy sho qu dau tu da IL Mla dw tue due quyda ban Jai cho quy daw wr mé di phit hanh rand II, Quy c@ chién luge Adu tu dai IV. Qu 6 chién luge, dau ty ngéin han a. Tva TV ding .b. Iva TV ding c. 1 ding d. Uva UT ding .. gay 31.12.2005," ny sO cling chi quy dang giao dich trén thj trate al tai qu]: 3.300.000 dong fing khiodn dang ndtn git: phat haah ra nd quy du ww dong 6 tink hinb whe ching chi quy pit og Gis Ui Abi Urania, Chinn kbatin sdlegny i 1000 35000 te 20800 34800 saggy asta: aby 14000 44000 4200 31500 2 S09 i eda Cong ty $00 trigu dong an rong (NAV) cia quy dt u 7 wt pis vi wn J eng chi guy. 2 hs hod no high ce il id Ur Ualh dn XYZ dink ph fran thénn 2 60 cd phigu thudng, Néu dig nay #1 Ching ty 0b ph 1 che 6 ddng hid co wy ra thue seth | khang ih hung dén ty 1g nd gid so hou cf phidéu ct {1 Tai sin cia Cong ty sé giam di IIL, Ciay ra higu ting pha long IY) Wau chit sé biu eba Céng ty ting lee a 1valV ding be diva Ti ding «Uva LV ding wd, Ut va TY ding, 1. Gia tham chigu cia 08 phitéu BI cic uhit da tu 06 thé dats * a Linnie gid b. Ham gia e 1S mnie Bid 14 nme gid 10, Néu gia diam chidu cba o& ph ‘guy djnh cia Vigt Nam, nba div t 8 90.908) by, 100,030 ¢, 101500 AST gar 11 du gid tham chiéu ‘thi theo quy dink oda Vigt Nam, aba 2 51.100 b 51.560 . e100 A400 12, Cae alii dau te Iya chon giao dich bin khding Ki ho lu dian ring: clieng khodn cd xv hudng tang trong rong lai + elding khodn cO xu huéng gidm trong, 18 bat ky theo chi 4d, ining khoan khéng thay doi 14, Mgt nha dau tu én Céng ly chirng kota ta ban to’n OG 8 08 phidu nay va inte wid 18 21000, Si ridnin xudng con 20100. Ong ta quyet dink mua vao 7500 ¢4 phidu voi misc gid nay dé tr’ Ia els Cang ty ching khogn. Gia Unit rng 16 a Jig giao djeh bin khong 18 40%, ins qin pi mdi gid v4 ibm Iai vay pha (rb Cones 1 46 Sok hun am bh a tthe alge 8 2.114% i 10,718 + 1b LG BC dang & mic 21000. Vai biéu d6 dao dong 1a 3% thi hidy IBM 9 mite 101000, bigw d6 dao cong 10% thi Uieo ty cO thé dat tai mee cha od phiér GMD dang & bi tu ob thé dat tai mite eid: hudag no inh vi vay 7500 ¢6 phiév VI. Ong dé 2 wan, gid 6 phiéu VIE w e {44%deh - ckapow vl dad, ONE sy fel haan 8 5M be Uy i cy gi: 24 pene Migs ob yh one: - tid jee + Te Red kg pepe Bae ate “DEL ldo & 5 nl dain eid ote Ai Sn pife ate aa Aa dai hoc. jue gh = Huth (0 se eg yn opiate 33ay wy aie 1 TPaitls tin Bede wields My Ck (tee pitel cle Hoes > WITTY se. Cag Paty EA NH ey lay Ca. ob dit in gig Hh “(oes bod idl 2 4 pecans — UE: 9 blak kd cheat ri tele aif (ee een iy sar >| ay i = ROD iy Af wh Ty Aa 4 uy. ia ck.ntin, yet Mn HH. huey 4 fl de aan gel che! “ “gla Soaps ih wh, d of ae sift fp lead &cep phiou sar tr plict [tdi sore int pce a1 te ig ¥ Te Uv at wt eat) pier rai pet Fedo i ct pine HT phivt Ee dugg ev cng ite sos Kush acs Alaa rat bide phi ig dad hove Kin tS aig dt fr tt coe Lai chink ~ ngsin hing wis ten Can 9: Nyuen hanle ' a. Bing tt b. Bang tot fe tdi mghigp cai hos Tranny cap Ci chats - gst Chi ean cd hing dal hee Ihoniy bt de any Ho: Wage elite hove Ht 2° nigin yet-chu i ‘ cou diet ching Khesity Fru ein Gio dich ching Kew ce He han Chadmg Klett pha nude asic Vita be vie Weg ec phtangsa e voi han cap sity vie ki nan shige bo at BSE I Jur ky clang Kes Wau Le neat anon mugay a Wasa : + Khon pgm aint jig Rhwatn bit 1 Ca 122 Thanh vier tine ky ch a. Cong ty ching bien ta, Digs Ing Tiny met Mags ving chi dane thant 0 j Trent leans fate hy Toute Tans ater Can 13: Diet hig le met Adie Ta 1 Civatay ply leat att saan ota, es vB EE hvac? Ret Fig tse. tang Unt Bi phe 1 Avett chon cacy cools cium: Busse ange by. fun than ulmnt as hogt dong ti Vict te Colgiay phép think kip ting dir ne. co Lal feng IV. © Nesques han Khong ae i saan ii 5 Pung st a Lil bb UTE ec LILLY dy WY 1 [fs Nyda vin hia chon Quy ter than es cling blu Lt le eet lt vi dui diy. ago Un Cong ty chting khot I, Naan hing thuang nai ev hoat don MIL, Nudn hang chi dind thant ton Phuwng din al bok UL do LUE i ny, ht Ky 1 siete tie 10" wnt 6 phan hae phe vom gop eH eyes jug nae thi Alay ate suv hae ti a Baw wie Sy eviug ty quran IY quay Bhet Cau 18: TA chitefed ahi bi queda mdt ediny tysqin IY si ef plkdit hod phiin vor gap eo quyén fren qtvet Hat at trong oie trudny hyp sat le Caw Ae High toi. 6 che Kinh cul ching Mesir oaiic ugediy Bl heat dang tea binds the Vigh Nam dutge: hrinh thie cdimg ty en plans t {Chil kip ei 1. Theta Kip edng ty 100% von me te UL. Dat Wain pling dai digas 1V. Thain gia gop vein, mitt ci Je asp vin king qin 10% tag 96 ven. pin, gp son Taée dans ah Baye come ts thee bs ‘ple fay ly Faea chon tne: cic phan: an sat adduo thie: tat bat suai iE, jis, eae Cally tases Ut day phar ce tesa ng wne Teal WO" ssi OF sa fae Tet 0 20: Tron: thifi ban 24 Ca iy ris HO SE Ly ulai eh: yy nice yet © y ehting Khoi a gin LF at a : Ahi eo Aiosin chy dunge the be Tr hog a daaye phe ys Uy bran Ching Misi NR nisi Fuego ein hluoin wae un tee cau Zt: Thanh Ua cl . L. Chung (rin! SAL, Yeu ede eit Chit eh {if Dau higu vi phan phip 7 tumy Khon ll by Ht ce. (All a CL LU loan than ta ching kos whee HEY pv Ke a. Chit th pl chit tich URCKINN E Ghai tha trast pas Ch Muth Uist Thanh tra vid . *FTu vio ting tren on cur URCKNN, Site ap Mayen tl ant ke ehoae: Khater saw sit Ha nga ce it ety Ky eat lene in wige gust IY pay awe UF x. Chava AL, Khang ed phony dn no ng Coan 24s Cate det trying, mo Tut hy x tals cad ae aie saaf Prams Lant Sb hich ching Khon, agoai Ul nv Lan ky elit Blast ny chi lis dan tot A. Trung tiAe ond+ Luge ching khodn (dé chins) (Caw 1. Sau khi'e6 quyét dint thu héi.ching abén phat hioh, 16 cl pi hodn tr én cio ahd du ts trong vong. a. 6Ongiy b. 45 ngay c. 30ngay © naiy ian do dao, dong gid trén thi trading ching khodn Viet Nam do: a. Giém déc'Trung tam Giao dich Ching Khosn quy inh, . Chit tich Uj ban:chting khodn Nha nuée quy dinh. c. Tang déc Ngan hang Nha nude quy dinh. 4. BO trudng’B9 tai.chinh quy dink : Cau 3. Trong trutng hyp phé.san. gi : a. ‘Lachi ng chung... -.b,.Mattodn, bois6tién dau ur, Lidgudi cudi.cing duge thanh toan te Lai c8 phan duge g6p tude. , Cau 4. Khi sas hign pin.cé ‘phi, cia doanh nghig luge durge phép mua. a, Téi da 25 nite phat h’snh Cau 2. i thé doanh nghiép, c&c cd dong sé. GNKA nude, 6 dong chin. tong We 5 c6 phin bin ra bén ngodi véi gi gu binh quan. gidm 20% so b. Téi da 25% tong sé cd phan bin ra ben { daiu binh quan. 20% tng 6 c6 phan bin ra bén ngodi v voi gid daiu binh ‘quan. 5, Khi nha dau te mua cd phan qua dau chting Khoin Ha No @) Khon; b. 5% c. 10 a 13 nha diiu tee pai dat coe dat coe wi cd pltin ding ky i uri cd phiin ding mua theo gist khi mua theo g git tr 66 phiin dang ky mua theo gid _, Cau, DSi wang cong bS thong tin tén the sueng chting khosin @ m : a, Jove +,a T6 thie phat hanh, t6 chite niém yet. ‘ % (GTS chic phat hanh, 6’chite niém yet, cong ty quin IY qu, cong ty!” chting khodn, Trung tm’ giao dich. 2 ,¢. T6 chiic phat hanh, t6 chitc niém yét. cong ty quan ly quy. d. T6 chic phit hinh, 6 chife niém y chifng khoiin . cong ty Quin ly quy, Cong ty. di thé cong ty, ngudi nim. gid tdi phigu sé duge"ho’n : a. truéc’céc khodin thueé. fic khotin phai tr Truée cdc khan vay c6 thé chip va ede khodth phai tr& rude cdc cé déng nim gid eS phiéu wu dai va c6 phé thong Cau §. Dai dign giao dich cia thanh vién duge’ phép'sita Idi giao dich khi: a. Phat hign nhap sai lgnh vi Iénh géc chira dude Kligp b. Phat hién nhap sai Jénh va lénh géc da duge khép. ¢. Khong duge phép sita 16i khi nhap sai Igih trong moi trigng'hop. Phat hign’ sai lénh khi lénh géc chu digt khop Vi’ phai'xuat trinh gdc va duge trung tam giao dich'chimg khoan'chap thuan. Cau 9. Phat hinh thém cd phiéu ra cong ching bao 26m: a. Phat hanh thém cé phiéu thugng b. Phat hank thém cé phiéui dé tra'cé tie ~_¢. Chao ban thém cé phiéu dé tang von diéu 1é OT cd cae cautren Cu 10. TS chéc bio lanh phat hinh & Vier Narn chi duge bio Lah cho mot dgt phat han 2 gid tri c6-phigu khong vuct qué: a, 35% von ty c6 ciia t6 chite phat hanh (®)) 30% von tw c6 eta t6 chite phat hank ©. 25% von tir 66 cita 16 chic phat hanh d. 20% vén tir c6 cita t6 chife phat hanh ‘ i (Cau 11. Doanh nghiép ds a phdp luat 1a. 1 Cong ty cé phiin Il, Cong ty hop doanh TIL Cong ty TNHH : b, Sau cit Khoan vay c6 thé chip v Bili cadug Khodn theo quy anh cia 7"TV. Doanh nghi¢p o6 vén déu tu nude ngoai- V. Cong ty Nha nude Phuong én: a. Chil val Chi I, 1, va IL Chil, Ilva V. ci TL, ILIV Y “Cau 12, Mét trong nhiing diéu kin phat hinh o6 phigu dn ddu ra cong ching & VietNam la: . a. Cé vin ti thigu 1a 5 ty déng, hoat dong kinh doanh cia 2 ‘nim lién trudc nam dang ky phai.cé lai. (©) wein-tsi hide 18 5 ty déng, hoat dong kinh doanh cia $ nim liga true naim ding ky phi c6 lal. c. Co vér, t6i thigu 18 10 ty déng. hoat.dong kinh doanh ca 2 nim lién true nam dang ky, phai c6 Lai. a C6 v6n t6i thigu A 10 t7 déng, hoat é6ng kink doanb ca 5nd Tién trude nim dang ky phi 6 Iai Caw 13. Diéu kién nao chua chfnh xéc cia vige phat hich ehimg cht quy dau tuwracéng ching trong cfc cau sau. . @ Ting gid ari ching chi quy xin phép phat hanh dat it nit 10,19 déng “p. Vige phiit hinh ching chi quy iu te chiing Khodin @é tsAg von cia que du uc ching khoin phi duge Uy ban ching khodn chip thudn. c. Vide phat binh ching chi qu? du tr ching Khon Lin dit ra cong ching durge thie hign dé chitng khoiin. Cau 14, Cong ty £6 phin bit buge phii co a, CS phigu yeu dai b, Trdi phigu cong (ols) d. Tit cd cic loai ching khodin tren hai Véi tha tue xin phép 15 quy diu we Cau 15, Thai han quy dinh cho vige phn phoi ching Khodnra cb a. Trén 90 ng’ Cau 16, TY le niim git ti da cia dau tie nuée ngodi d cé phigu cite noi 16 chite niém yet due quy dinh theo phitp luat Vig Nam“a, 25% téng s6 c6 phiéu b. 27% téng s6¢6 phiéu ©. "30% tng s6cé phiéu “ ©) 49% téng 56 c6 phi CE) 49% téng'sdc6 pi Cau 17, Ngudi hanh nghé kinh doanh chim a. Ty ¥ mua, bin c6 phiéu & moi noi b. Lam giém déc mot cong ty niém yét c. SG hiu khong han ché sé cé phiéu biéu quyét cla mot 16 chtte phat hanh (vi duge més jao dich cho minh tai cong ty chtmg khodn noi imvige. =~ : Cau 18. Ty 1é ndm git toi da ctia nha dau te mde ngodi déi Véi cd phiéu cia mot t6 chic tin dung theo quyét dinh chia phép luat Viet Nam a: a. 48% b. 40% 4." 30% ©. 25% Cau 19. Phat hanh cd phiéu lan dau ra cong chting a. Chao ban socap lin div b. Chao ban thir cap lan déu (E\C4 hai phuong an tren d. Khong cé phuong an nio ding . Cau 20. Mot trong nhing diéu kign dé niem yet wai phieu doanh nghiép i: ‘a, LA COng ty 6 phéa, cong ty TNHH, doanh nghiep Nha nuée ¢6 wn diéu 1€ da g6p tai'thai diém xin phép nim yét tir 5 ty déng tra len. 4 cong ty c6 phan, cong ty TNHH, doanh nghiép Nha nude cé von diéu 1é da g6p tai thoi diém xin phép niém yét tir 10 ty dng tro len. c. La cong ty o6 phan, cong ty TNHH, doanh nghi¢p Nha nudc, doanh nghiép tu nhan, 6 von diéu lé da g6p tai théi_diém xin phép niém yet tir5 ty déng tro len. d. Khéng phuong 4n n’o dling. Cau 21. Té chtic phat hanh, t6 chute niém yét phai cong bé thong tin bat thudng trong théi gian: a, 10 ting ké tir khi su kign xay ra. b.. 14 tighg ké tir khi sy kign xdy ra @ 24 ting ké tit khi su kién xay ra OSHd, 30 tigng ké pir khi sukign xdy ra + Cau 22. ‘Tréi phigu sB bj huy bo niem yét khi th’ gian thank toin cba Iai ets phigu ft hon: : a. 4thdng b. 1 thing Er thing 4.3 thing Cau 23: Theo quy dinh vige xem xét hd so phat hinh chimg Kkhosn ra cong ching duge thye ign theo hinh thév: a. Dang ky phat hanh b, ‘Cap phép phat hanh ce CAhai hinh thie én d. Khong c6 hinh thie mo ding Cau 24, Quy dau tu chim khodn theo quy dinh cita Viet Nam 18 quj: a. Diu tur t6i thigu 70% gid tri ti sin ciia quy vao chimg khodn. @) Dau ur isi thigu 60% ei sin cla quy.vao chtmg khoin. c. Dau tw t6i thiéu 50% sin, cha qu vao,chimg khosn. d. Dau'tu ti thiéu 40% gid ui tai sin cla quy vao chimg khiodn. ati Au 25:76 chic phat hin, t6 chite nim yét cOng' bd bio cdo thi chintr nm; trén: 6 56 bio tiép theo cia mot te bilo b. 5 $6 bilo tigp theo cita nigt 18 bio 6. 56 bdo tigp theo cha mot tt bio 3 86 béo tidp theo ciia mor td bi Cau 26 Neudi thaw tém khi thye hign giao dich chio mua cong Khai, phil dap ding cde yeurcdu sau, ngoai triz a. Huy clio mua thaw tém khi khéi Iveng chio bin vugt khdi Jong cho mua, b. Thue hign chito m ti khang qué 30 ngiy vi khong quit 60 n; c. Thye hign déng td ct khép Tro ger mua cong khai va mua khong thong qua iao dich ching khosn, Dit gid chio mu: ¢ ip lon gid déng cia trén trung ching khod Bio cio UBCK a giao dich fim viée tude khi trac mua.———! Cau 27 Giao dich e6 phigu cia 06 dong ngi bo (HDQT; BGD; Ban kiém sot: K€ todn trurng’ a b. ) 46; vi €6 phigu cia cOng ty niém yét dugt thye high khi: Khong cfin bio edo véi trung tam giao dich cti . Bio cdo bang vin bin cho tung tam giao dich thy hie g khodn ching khodn sau khi Bich cio biing}viin ban cho trung tim gizo dich ching Khodn ngay sau khi thuc hit’ giao dich 4. Bio cio 8 ban cho trung tam giao dich ching khoan chip thugn 3 ngay giao dich. . © Bao céo bing van bin cho trung tam giao dich ching khoan chap thugn ti thiéu 10 ngay trade. dich. 28. T6 chiic phat hanh phai hoan thanh vige phan phéi od phiéu trong vong: 90 ngay ké tirneay giay ching nhan dang ky phat hanh c6 hiéu lye b. 80 ngiy ké tirngay gisy chime nhan dane ky phat hnh cé higu fue & 7Ongay ké ti na chtmg nhan dang ky phét hanh c6 hieu luc 4. 60 ngiy ké tir ngay gity chime nhan dang KY phat han c6 higu luc Cau.29: Hoi déng quang tri, ban Gidm doc, ban kiém soat ciia cong ty niém y& phai ndm gitt “ a. Tt nhat 20% von c6 phan cia cong ty. b. Te nhat 20% ven cé phan trong vong 3 nam ké ticngay niém yer Ort nhat 30% s6 cd phiéu do minh. sé hiu trong 3 nam ké ti ngay niém yét 4. ft nhat 30% so e6 phiéu do minh sé haw tr niém yét Cu 30: t6 chite niem yét khi giao dich of ong 3 nam ké tir ngay phiéu.quy; chi duge phép: 8. Mua lai khong qué 30% cé Phigu cia 6 chic niém yét, >. Mua lai khong quia 25% cé phiéu cia 18 chite niém yét . Thue hién (rong vong 3 thing ‘Thuc hién trong ving 6 théng & avac @bvag+ Luat chitng khoan (els) (Cau 1. Té chife no lah phat hanh & Vigt Nam dé dam bio 13 trung tam mot dot phat hinh véi t6 che phat hanh khong wet qué: a. 20% vén ty 66 cla chée phat hinh. b. 25% vén tirc6 cba t6 chic phat hanh. ©) 20% von tr 06 cia té chic phdt hanh. 4. 35% vin ty c6 cle Cau 2: Khi phd sis wh 16 chic phit hanh. in, gidi thé cong ty, ngudi nim git tai phiéu se duge hoan a. True cde Khodn vay c6 thé chap va cde Khoa phi wa b, Trude cdc khoan thué. . Sau cdc khoin vay @ Trude cde o6 dog am git cé phigu wu dai Cau 3, Phat hanh them 6 pl a. Chao ban thém phi 6 thé chifp va ete khoani phi tra. cé phé.théng. hhigu ra cong chiing bao gdm: gu dé tang von didu Ie. tb. Phat hanh them cd phigu dé tr cé tie cc, Phat hanh thém cd phigu thudng Tat c& céceau teen. Cau 4, Céng ty e6 phiin bit bude phai 66. Ocs ‘phigu phé thong b. Cé phigu yeu dai ~ c. Tréi phiéu cong id. Tat cd cde Toai eting khoia tren, a.C6 Gn t6i thigu 1A 10 Uy ddng, hoat dor thiéu true nai d: , CS vn ti th truée nam dat jen phat hainh ¢6"phiéu Lan dau ra cong:chting & kinh doanh cla 2 nam lién 18 10 ty déng. hoat dong kinh doanh cia nim lién am tign\ @cs von tdi thiéu 1a 5 ty déng, hoat déng kinh doanh cia. nam. lién truéc nam dang ky phii cé lai. Caw 6. Ty lé git i da cha Nha nude ngoai déi vdi cé phiéu cia 6 chite niém yét duge quy dinh theo phap luat Viet Nam. a, 25% téng s6 cé phiéu © 49% téng 56 <6 hia Cau 7. Ty JE nim git t6i da cia nde ngodi déi Véi cé phigu cha mot té chic tin dung theo quyét dinh cia phdp luat Viet Nam. a 25% 30% i © 40% d. 45% Cau 8. Sau khi ¢6 quyét dinh thu héi chiing nhan dang ky phat hanh, 16 chifc phat hnh phai hoan tra. tién cho aha dau tu trong vong a 1S ngiy 30 ngiy c. 45 ngly d. 6Ongay Cau. Mot trong nhiing diéu kign dé niém yet trai phiéu_ doanh nghiep @)Li cong ty 6 phin, cong ty TNHH, doanh nghiép Nha‘nitéc cé'vén diéu Ie da gép tai thai diém xin phép niém yét tir 10 ty déng tro len. b. La cong ty ed phan, cong ty TNHH, doanh nghiép Nha nude cb von diéu le 44 g6p tai thdi diém xin phép niém yét tir 5 ty déng tro len. c. La cong ty c6 phin, céng ty TNHH, doanh nghiép Nha nuéc, doanh nghigp tu nhan c6 vén diéu 1¢ da gop tai thoi diém xin phép niem yét tir ty déng ted len . Khong cau nao ding aul phiéu it hon, 1 théng ©) 2 thang ©. 3 thing Jet ii thoi gian thanih todn con Iai Gia tdi.& d. 4 thing Caw 11. Trong trutmg hop pha sin, gidi thé doanh nghiép, 6 dong sé. a. Lachi ng chang b. Mat toin bd sé tién dau tu. Duge-yéu tign.trd lai ed phan da gdp trude LA ngudi cudi cing dirgc thanh todn. 12, Quy dau tu chég khoan theo quy dinh cita Viet Nam 18 quy. a, Dau tu t6i thiéu 40% gid tr tai sin eta quy vao ching Khosn b. Dau tir t6i thigu 50% an cita quy vo chihig khoin © Pio wisi thidu 60% gi iri sin cia quy vie ching’ khosn Fu tr tdi thidu 70% gid te tai sin cha qhy vao ching khoin Cau 13, Ngubi thau t6m khi thgc hién giao dich cho mua cong khai, phai dap ting cdc yéu cdu sau ngowi tri. : a. B&o céd UBCKNN ft nbat 10 ngay Lim vied truée khi trio mua b. Thuc hién chao mua khong dudi 30 va Khéng qua 60 ngay- c, Huy chio mua thau tém khi kh6i' hiong eho ban virgt khéi lugng chao mua. : d. Thue hign déng thti chio rhva cng khai va mua khéng théng qua khép len tai trung tam giao dich ching khodn . fe. Dit gid chao: mula thap lion gié déné “ching khoda f. acvid @eadvic : Cau 1d. Té che phat hah phai ho’n thinh vige phia phot cé phigu trong yong cia tréntrung tam giao'dich 60 ngiy ké tienghy gid a. b. TO righy ké tir: phat hanh c6 higu lve nhiin dking kg phit hinh’eé higu lye a0 dich c6 phigu qu! 5, TS chtie nigm yat khi | chi duge phép. 4 25% 6 phigu cia 16 chitc niém yet 30% €6 phidu cita td chite niém yet G6 thing ° a, Mua lai khong qu b. Mua tai khong au €. Taye hign tron; Ot d. Thue hign trong ~ing 3 thing: cs)a. ft nhat 20% von c6 phan cia cong ty b. ft nhat 20% vén cd phan trong vong 3 nam ké tir Ay nigm yéi ©) fc nhat 30% ven c6 phan do minh sé hit trong vong 3 nam ke ti ngay niéni yét 4. fe nhat 30% vén cé phan trong vong 3 nim ké tirngdy nigm ye Cau 17.Giao dich cia cé dong noi bo (HDQT: BGD; Ban kiém soa; ké todn truGng) déi v6i cé phiéu cita cong ty niém yét duge thyc hign,khi. a, Bio cdo bing van ban cho trung tam gido dich chtmg khodn sau khi thy hién giao dich 10 n Bio céo. bing. van. bin va duge trung tim giao dich chting khogn chip thuan ti thidu 10 ngay tse ngay giao dich. ¢. Béo céo bing an. ban ‘cho trung tim giao sau khi thuc hign gido dich Bao edo bing van bin va duge trung tam giao dich chimg Khon chip thuaa trudc 3 ngay.giao dich. ich ching khodn ngay ¢. Khong cdn bio cdo véi Tring tam giao dich ching khodn Cau 18. ten. Té chite phat hanh, t8 chiéc niém yét cong bé béo,céo tai chinh nam 3 86 bio tip theo cia mot ty bio B. 4 s6 bio tigp theo cia mot t8 béo ©. 5 s6 bio tigp thes cia mot tt béo d, 656 béo ti€p theo cia mot td béo ‘Cau 19. Theo quy dinh, vige xem xét h6 so phat hanh ching khosa ra cong ching duge,thyc hign theo hinh thitc. & Cap phép phat hah b. Dang ky phdt hanh c. Ca hai hinh thie ten d. Khong 6 hinh théé.nao ding Cau 20. TS chic phat hanh, t6 chic niém yét phai cOng bé thong tin bat thudng trong thei gian 10a. 10 ting ké tir khi surkign say ra. (o) 24 titng kb tr Kh sy kien sly v8 ©. 30 ti€ng ké tir Khi su kign say ra Gd. 14 tiéng ké tir khi su kign sy ra Cau 21, Phat hanh cd phiéu Ldn du ra cong ching 18. Chao bal so cap Hin du ‘b. Chao ban thit,c&p lan du c. C&hai phtong drtrén d. Khong cé plivong an no ding _ Ngudi hinh nghé kish doanh ching khoén duge a, Ty do mua, bin cé phiéu & moi not ' Chi duce m thi khodit giao dich cho minh tai cong ty chting khodn noi fem vie cc. So hit khong han cheé's6'cd phigu biéu quyét cha mot t6 chic phat anh d. Lam gi dde mot cong ty niém yét u 23. Thdi han quy dinh cho viéc phin phéi chimg khoén ra ‘cong chiing 18. tn no.chita chinh xéc'cta vige phit.hinh ching chi quy du turra cong chting trong cic cfu tren. a. Vige phat nfi chiing chi quy diu tu chimg khodn In diu ra cong ching duoc thyc hign déng thai véi thd tye xin phép lip quy dau ur khodn. Khost dé tang vén cist Qué diu te ching khodn phai duge UBCK chip thuan sin phép phat hanh dat {¢ nht 10 ty déng img Khon theo quy dinh cia 1. Cong ty céphin TL. Cong ty tdich nbigm hin han Ii. Cong ty Nha nudeIV. Cong ty hgp’doanh V. Doan nghigp e6 von déu tu nude ngodi ws Phuong én an. . : a. Chilvall @chinuam , c. Chil Wvav d. Cal, Iba, IV va V Cau 26, Dai di én giaa dich cita thanh vién duge phép sta ldi giao dich, kh. Phat hign sai lénh gde chua duge khop COD Phat hien sai le Jc chura duge khép va phai xuat trinh Iénh géc va dugc Trung tam Giao dich cht khodn chap thuan ¢. Phat hign sai ignh va lnh g6c di duge khép 4, Khong duge phép sita I i khi nhap sai lénh trong moi trudng hop CAu 27. Déi tong cong bé thong tin trén thi trugng chting Khodn gém. a, Té chit phat.hanh, t6 chtic niém yét b. Té chife phat hanh, t6 chic niém yét, cong ty quin ly quy c, Té chit phat hn, t6 chic niém. yét. céng-ty quan ly quy, cong ty ching khodn . - (©)T% chite phat hanh, t6 che nigm yéi, cong ty quia ly quy, céng ty ching khodn, trung tam giao dich. . Khi thuc hign bin cé phén cla doanh nghiép Nha nuéc, cé dong chién lige duge phép mua., @® Wi da 20% tng! s6 c6 phin bén rangodi véi gid giém:20% so v6i gid du binh quan b. Téi da 25%'téng’s6 cé phan bin ra ngoai véi gid gidm 20% so véi gid dau binh quan : . Toi da 25% téng s6 cé phan bén ra ngoai véi gid giam 25% so véi gid dau binh quan d. Téi da 20% téng s6 cé phéin bin ra ngoai véi gid giam 25% so Voi gid dau binh quan -- : 29. Bien dd dao dong gid tren thi tru’mg ching khoan Viet Nam do. a. BO truéng Bo ti chinh quy dinh Chi tjch Uy ban Ching khodn Nha nude quy dinh €. Thong déc Ngan hing Nha nude quy dinkgh us 1 Bick hee, on 11g 7 pkey! pps 2 ids “hye aes ly dl gap Vin. bat ral ge Ae tleae Sag Cau hot thi Luat 4. Bio inh phat hanh Teal phiu dm bao bing gl? (#ap dn 8 bing vat J sin dimbap ve : ‘bao [anh) : . ; 2- Chién luge phat trign thi trursng ching khoan do ai ‘quyét dinh? (cp £a 18 do thd ti " cP) oT Peet i 3. phat hanh CK cho nhan vien (option) t6i da la b49 nhieu %7 (Bap én & 5%) TE] Vi a. HB so cho ban CK ra cérig ching cia Ngan hang phi ¢6.g1?,(44"_ nm 18 phdi cd thém ‘ quyét dinh théng qua cia ngin hang aha nuéc) SET ayain, \. 5 Yeu cu niém yét phai co von 10 ti dya trén gi? (dap ania oul trér. gia Uri SO sch) , : itu Kign no ké ding véi-chao ban CCQ ra cng ching? (éép in 18 song song viee 5. ee hae ban cing vei thar lap) . EY bes Gis se niem yet uve UURLIK trd toi endp thudikhbng ivong bay 13 7 {uap an 1436 ngay) VN 2-5 Thai gian phan phéi CP/TP ‘ta cong chting | bao lau ? (8p an la 10 ngay) ear pas 7 © 9. Chap nan hy bd niém yél la do ai? (Gap an 1a do SGDCK va TT30CK) , le e : 40- Thai han cp gidy phép hoaldéng lwu kj 1a bao nhiéu ngay? (15 19ay) 11-6 lire duige quyét dinh bai ai? (dap an la BHOCD), {2-bidu kin nao k6 cn dB ngan hang dang ky hoat dong luu ky? (‘ep An 14 kd edn phai cé gidy phép mai gidi va ty doanh) ; 13-Quy AB Ug thanh toan dirgc dong gbp bai al, ngosi WH? (Gap én 14 Ngan hSng chi din soe 2 _ thanh loan) . TT +14-Ngwei ndim.gi-10% CP c6.quy$n biéu quyat oda 1 ey CK kd duge.nanygitr bao mihigu 9 CP co quyan biéu quyét cia cty CK khac? (dap an la ae * 45-Truréng doan thanh tra phai la ai? (dap an [a tay wong hop) a Chanh thand tra-cd.quyén gi? (Gép ana chi canhcdo+ phat tiémthdi) Ze, > Kani nao thanh tra (dap an la.theo Ginh ky, do chanh TT quyét dinh va khi ¢6 du-hiu yi, Siig” igo (chi khi 66. bang dai hoc gia) Le fi 5 phai co cidu kign Gi? (tSt nghi€p dai hoc) a) ¥ host déng.tai VN co thé lam gi? (dap n la lién dé yanht nb phant VPDO) OAL OT thang tin trong 24H khi tai sen bi clam 1044, geal tir (Gap én. = jp chérng chi hanh nghi vey LINAS abu ty nude ncoai muén OY 100% nuée ngoai+ gép vin 28 24-Céng ty cdo phai cong ©: 18 c&ng ty dai. ching) 22- Ngan hang gidm 941137 (dap an ‘sat quj éai chiing, ciy OTCI) © a ‘sai ching phai? (dap an 18 ctu 3-1 Pthanh vin y8.2/3 ihanh vign gidm sat va cly QLQ) ai? (dap 418 cng ty ching khan) ~~ 1 theo gi {dao anid ca gia dang cla Ngan hang TM 6 gidy phep wu k7+ heat cong gidmphat hinh CK riéng 18 (phSt Hanh ti): Phat inh cho = 10 ARS BF, trong ham Ve, HU YE eB dng bign hou. 22 Phat hinh CK (chio-bar CP) c6, diéu kign sau: ON cé von ty 1Ory ding I {uve 65 bi,'c6 p.in phat hinh va p.én sit dung vén, . MB hinh tS ehife TICK? 145 hinh thiiih vién, Cty CP, Cry THHH,ms binh Chinh ph MB inh hogt t/ehdic dng Cty CX: Kin dan, mi ge, ty dood, boa Bel PH, vn GU CE Wy OX, Md hinh hogt t/chie va h/ddng Cty QL quy: quin ty quy dBu tw CK. quan ty Ganh owe dau ty CK Chao ban CK ra céng chiing: théng qua p.tign ttin dae cho ban cho tif 100 nha DY.trd len (ko § lén, Kat qué HOKO Aim Cac triféng hgp ko phai ding ky cho bin Cl DINK chuyién G6i thanh Cty CP, bén Ck theo q.dinh cha Tod a. &. Hinh thie cho bin CK: : 3a. »Chio ban CP, CCQ: 0E hiy dng vin, dé trd thanh Cty dai chi |b, G9 ban thém CP, CCQ: 4& tng ven digu i 1! 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HB sd Cty Bai ching: Bigu Ig, Gidy ching nga DEKD, Utin téra stv Cc truding hgp chio mua céng khai: sf hiry 20% CP cang ivy ban CP hg dang sBhity, SSC hae the hifi gian thc hign clio mua: ko ngén hn 30 ngay va ko ci qué 17, Bi tygng cdng bs théng tin: Cty Dai ching, TCPH thc hin ciéo QL aug, Cty dau tu CK, SGDCK, TTGOCK vé cic cd nan fén quan. . = 18, Yeu chu thye hign CBTT: day du, chinh xdc, kp thai theo QD cia PL, CBTT d® GO or TD or ngutl dude Guyén tye hign. Tring hp 8 BSE ky ngutl nao CBTT lam gah hung dén gid Ck tN nau ude Uy Guyén Cart phat xde nk hose Giah chin tin d6 wong 24h ké tir ki Ytin duo cong WS, bio cB9 SSC, SOGCK, TTDGCK 19, Phuténg tign CBT: - Cua Cty Dai ching, TCPH: bio cio, website, 82 pha "(Cua USCK: béo cio, website, Jn phém + Cia SOG, TTDGCK: bin tin thi trutng, website, ting hign th di 20. Nghia vy CBTT: dinh ky, bat thu’ng (trong thai han 24h va 72h), theo yeu cu. 21. Mai gidi CK: IB viéc Cty CK Ibm tung gian mua, ban CK cho KH 22, Ty doanh CK: 18 vigc Cty CK mua hoc bin CK cho chinh minh 3 Bos tanh PHCK: ia vige (8 chute BLPH cam két thy hign thi tuc cho bin CK, nije mua CK dé Dan I hhoBe mua $6 CK cha duige phn phi hat hoc hd tog TCPH psn phoi CK ra cbng ching, JA Turn dau BECK: vec Oy OK cung cp Kt qu phn tech, cg bs bo cio phn th va HouyS rah en areca OS 35. TS chite BLPH: IB Cry CK Cue BLPHCK va NHTM duge chSp than BLPH trai phiu. 26. TSdte KOCK: BY OK Cy QL, Gy QUTS, NHOT Haye Hin KOOG PUM 27, Nuthin nob CK 8 routs lm vec te ping ng iow v8 Oting ei sarh eg 28. Vin kh’ dyn: vin bSng ben va TS cunga chor therh ten. TC até. yt ko Ham thing vin ait I. sinh va pa nth OT TP ra cng at cdc tram du cud. 29. Vénphép dink: = Mek get 2251 60g = Tytdoanh (00 ty dong sy ~ BLPH 65 ty dong Téng cong: 300 ty dang Tu 2168) ng ! = Luu ky I 30. Quénby CKBC: QLtéch bist CK, phal gUt CK cha KH cho TTLK OL gay Him vise 31, Nhinignh GO: nhén khi phigu Verh dude dién chinh wéc, dBy 00, ghi theo thi ty va this ginn | 3a, Nhe tents qua Internets BT, Faxc gh nn this digm nh Wah, Be nan vel KH, UU QKT Ding ving ve Ken Ki, eb ign phdp khde phuc khi Khong nhgp dug Heh cba «H vio he thdng GO. 33. Noidang Usanh 03: Gn ei pip If 6 thanh tra, i tegng, ni dung, ham vi nhigrn wy (hon eaMay! 21 2007 OL:14Pr1_ PL tow. Jn at chimg khodn | Doan nghigp duge phép phat hinh CK j cir cding ty hgp dank ‘ong ty. CP duge prep von T, I, 1V GA: C) + fei gi dong cb déng cba CTCP durge'ttén hanh si? re sean Diy An D vin didu 12 10 dng cia 15 chtte chig ban CP rn cdng ching duge tinh bi 13. ren eo s6' git tri s0 se tot “p bidu kign chua ‘chinh xde edie vige chao bin ching chi quy ra. cong ching? ‘ohio vin ra cng clung dng thoi vel vige xin gidy phép thinh gp Quy ‘bisa kign cho bin CP ra céng chang . “$' vpI, >= 10 4 alm liga teude nd dang cj pha c6 18 dbng that Khong 6 18 lug ké. ae {Ta ses chao bén CP ta cbng ching ova | NETL At ‘ | Gidy DK chto ban, Bin cdo bach, Ppidu I, QP ela DHCD , Chip thus coin td chiro 66 thim quytn | Ke tirngay nbn gi gc phit hah CP, TP? 90 ngay. 3) Nguoi inh agh® Kinh doanh chGng Khodn P >. Bang dai hoc : ap churn hay uy BO nidm vet 18 do? Bo GNCK va Trung tim GDC 11) Thanh vidn giao dich ofa so GDC! 1g ty CK ‘ ) K6 tis khi nha hd so hop 8, thoi han cfp gi Ay chitmg nhin ding ky host dong fu ky Wt 6? fa trung téin GDCK tas ky chim Rhoda 33 + ae ~ TM. hogt ddny hu kY CK 3c iphép think Lip va hoat d6 Thanh Quy ho tre tharh toda do + cTM co hoat ding lun kg ese hav 10% VOL ets cang ty CK v8 CT quan} jo duege sé hi tdi da $% VDL ein. C K , CT quan ly qué ‘doanh CK nude ngoai duce dang, 100% nude ngoai, VPDD 18) Ngwaits ruge ep Iai chimg chi 3 chi duge 8 hoe git enh CCT tai sin cong eda CUS dau te CK nidin Yes ee TT tap trung pha cya vo = a hode wid trung bini cia gdy OD weee ngay dinb gis edag ching eo 73 thénh vin khong PP! “oth, CL phi eOng bd chéng vin ef lign quan dén CT-quan 1¥ quy va NIL gidm sit wy aide yet, CT CK, gui CK chi diege thige hig hi fang trinh kehogch durge phe cy vi pham PL, 08 yéu che ia cit tich UBCK ode thank tra ..-...3 Mk Jagan ludt CK, chsh ean ara 65 a S phateinh edo, phyt viea 25) Nilgiim sint la NHTM. = 6 gy CN Diy hd ww ky, Lam sat vige quan ly Quy div wr iy ching nhgn ctdo ban CX rt eng eh, Tai han cho t& chive phét han oan think hi xdy ma trudag hep CT di 10 ghrbt 10% gia tri TSAGF ia Fa ai gh FEL TG SA “fe Ae noi va dép an mon lat ching khodn ui 1) Chao bin ching Khoin ca cong ching duos ‘hue hign theo phuong thee i | fs trong cde phuong thie sau: | é | . 1) Théng qua phuong tién thong tin di ching (ké cd internet) | {I Chao bin cho tir 100 nha dau wu 6 len, khéng ké nha du tu ching: J khoan chuyén nghiép . \ 1) Chao ban cho-mét so Ivong ha diy ty khong xe dinh IV) Chio bin cho cde di tic cbién luge : : 4 t © ¥) Chao bin cho ahén vign cong ty Phuong ao a, ILIV GM Li, H1V, ti Cau 2: DSi tzong ndo sau day duge phép chio bin ching kicdn ra céng chiing 2, Céng ty dai ching va cong ty niém yet . . Cong ty co phn chimg khoiin ; e: Té chic tin dung: a 4. Doanh nghigp co von dia ww avec agoai chuyén doi thanl congtycdphin, 2 e, Cau a,b . 4 € Chua, boc. ao a - es Cau 3: Von dieu le (di thidu eds cOng.ty chao Ban ching khéan ra cong ching 2. 51 S v. 10.6% . any 4. 80ty : i Cau 4: Cau nio sau day chura chinh, xac déi vei quy thanh vien Log! ce " Téi da 30 thanh vién gop vn : ” shi thinh lap chi béo cdo UBCKNN Truc thuge 1 cong ty quan ly Quy TA cain quy khéng cin phai uu ky Coal hinlt hoat déng ca cong ty dau tu ching Khodn a. Cong ty cd pivin . Cong ty lien doanh . Cong ty TNHH | Doanh nghiép nha nude Tit ca cée Logi hinh teen , iu kin chao bin c6 phiéu ra c6ng ching "von didu 1é t6i thiéu 14 10 07 VND. " Hoat djng kinh doanh cua nim Widn ké 6 Iai, va khi ¢. Phuong an phat han, sir dung von duge Dai Cau p> ng c6 18 ly ké ng cb dong! Hoi ding s quan tri/ Héi ding thanh vin hod chi so him von thong qua d. Cau a,b e. Ciuabe vAChu 7: Té chi nao cap gidy phép thinh lip (gidy chang nhin ding ky kinh doanh) cho cdng ty chtmg khodn i ' a, BO Tai Chinh 4 b, UBCKNN «. SGDCK : 4. BO Ké Hoach va Dau Tu (Cu 8: Cau sau 1a dang hay jsai? Mot céng ty chi cap phép hoat dng trong cé¢ Ink vc sau: moi sidi dau tu, luv ky . a. Dung b. . Cau 9; Ty 1g van digu 1é thuc gép ban diu ma cé dang sing 1p (hay thanh vign sang lip) otia céng ty chting khodn phai cam két nd gitt la: a, = 5% : khosn da ding ky va duge ao anh phat hank, tw van 20% : Cau 10; CO déng sing lap (hay thinh vién sang lép) cia cOng ty ching kho#n phi camkét nim git vén digu 1é thyc gép ban dau trong thi han n Bop trong 6 thang dau tién ké tir khi cdng ty duge thanh lap va 50% vin gép trong 6 thang ké tiep b. Lim c. 2ndm - +d, Sim Cau 11: Cang ty dai ching muén mua cé phidu quy tir trén 10% dén 30% tng sé ¢é phan da phat hanh thitriréc tién phai c6 sy dang y cia a, Dai HOi ding ci ding” b. Héidéng quan tri c. Uy Ban Chimg Khoan Nha Nuée ® d. $5 Giao Dich Chimg Khodn (TTGDCK) Cau 12: Cae bink thie xi phat vi pham hanh chinh a. Phat cénh cio b. Phat tién c. Ap dung hinh thie xir phat bé sung d. Cua, b e. Ciua,b vic Cau 13: Tham quyén xi phat vi pham hanh chinh cua Chi tich UBCKNN 2. Phat cénh cio b. Phat tien . c. Ap dung hinh thite xt phat bd sung, bign phap khic phye héu qua d. Ciuavab e bfo : Chu 14: CSng ty dai ching khong due phép mua lai cb phiéu quy wong nutng hop nao sau Hay: —— | 1) Dang kinh doanh thua 18 hoe ¢4 ng qua han 5 11) Dsng trong qué fest chio ban ed phieu huy dng thém vén TI) Dang tach gop cb phiéu “> 1V) Gis cd phigu cing ty dang giém stit nghiém trong ~ Y)_ Cé phigu cla cong ty dang durge chao mua cong khai Phuong an . : a. 1, 11, H,1V, V ee sR ho BIL. . - tha Ae ce LILULV . @. if, s11,1V 3 mH i r Cay. 18 quy dinh téng gia ti cd phigu bao ldnh phat hand trén vén chi's6 hin ofa t6 chic bao lanh phat hanh trong-digu kign bao link phét hanh vei cam két chéc chain a: a. 40% b. <50% ©, 560% 4s70% + * “ke Caw 16: Céug ty.chimg khodn bi.dinh chi hoat dng trong nhting trurong hgp'sau. « day, ngogi trir: Host d6ng sai muc dich, khéng dling gidy phép ALi gép dat 40% vin digulé Khong duy tr di von phip.dinh. : Ha so xin dp gidy phép host ding cé théng tin sai gat Cau 17: Céng ty chimg khodn bi thu héi gily:phép hoat-dong kinh. doanh trong hing truéng hop sau day: ‘a. Khong hoat dng kinh doanh chimg khodn trong vong 12.théng b. Khong duy tri da vén phdp.dinh trong vong 6 thang.-(. ¢, Bj dinh chi hoat déng trong vdng 60 ngay nhung khohg Khe phye vi pham d. Cab, e e. Cia b¢ Ciu 18: Cong ty chimng khoéa cé nhimg righia vi nao sau day, ngoot. tir a, Xay dung hé thong kiém sodt nib}, quin tej nti ro va gidt b. Thu thép, tim higu tai chinh, myc tigu dau ty, kha nfng chap nhén ri ro cia khach hang 3 : cc. Mua bao hiém trich nbigm nghé nghigp, lip quy bao vé nha dau fr ¢, Uutién léah khdch hang e, Céngbé thang tin vé khdchhing Ciu 19; Nhimug céu ndo sau day khong diing vé quy 46ng a. Duge phép dau tu vio bat déng sin0 ' +b. Nha dit tur khong cé quyén kiém soat hing neiy 48i véi cde quyét dink coaquy ea 3 ¢, Ching chi quy 44 duge chao ban ra cong ching . jai theo yén chi cha nha dau tw 20; Nhitng of no sms dy kong Ging ve quy MO yy a. Duge phép dau nr vao bat déng sn os b, Nha dau tir khéng e6 quyén kiém sodt hang ngay déi voi cde quyét dink cua quy c. Ching chi quy d4-duge chéo ban ra cng chting d. Nha du tu phai bin ching chi quy tren SGDCK, TIGDCK Cu 21: Céng ty chimg khodn ¢6 phin duge phép mua lai cb phigu phd théng lim 6 phiéu quy vai ty 16 a s5% Ab. S10% cS 15% thyc higa I nghigp vy Kinh doank Ding &: M6 hinh hoat gone cia Céng ty diu tu ching khodn a. Cong ty 6 phin b. Céng'ty trach'nhiém hihu han c. Céng ty lién doanh vs d. Céng ty 100% von-dau tu nirée ngoai ce. Ciua, b va c déu ding Cau 28: Nhimng cau nao sau day khong ding vé quy thanh vién 7 Von gop toi thiéu 10ty VND say b. Do té chize va ta nhan gop vin (ae ce’ x) c. Tai sén cua quy dugc luru kj tei mOt.ngan hang lu ky 4, Khi thanh tp chi bao ¢4o véi UBCKNN Je. Clin a va b f Chuaevad Ciu 26; Neuin vn dé mua igi cd phiéu qu la nhiing nguén nio sai day: | #)Vén chi so hits | ») Thang dis vén Loi ahudn dé lai : { Cau a, b,c : |canbe aay ‘ CAu 27: Khodng thei gian gitta hai dot mua va bén o6 phiéu quy 1a 3 thang b. § thing c. 9 thang 4. 12 thang c. Bir ky lic mio céng ty thay can thiét va duge su nd thug ota 2 UBCKNN Cfu 28: Trude khi céng ty dai ching thyc hign vige mua lai hode ban é phi |, sy Quy phai bio bao UBCKNN chém nhat la . 3 ngay 4 ngay . - Tngiy Lat 10-ngay Cau 29: Sau khi két'thitc vige mua lai ho¥e ban cS phiéu qu cong ty dai.ching phai b4o béo UBCKNN cham nhat fa a. Ingay b. 4 ngay 4 c. 7 ngay -d. LOngay Cau 30: Nguon vén dé chi tra cé te cho cé déng-bing-cé phiéw la nhing, nio sau diy: uy (dau tw phat wrién, khen thudng, phiic Igi, khac) b. Thang du vén sc. Loi nbfin.sau thud d, Caua, b,c e. Citi b,c Cau 31: Nguén vén dé phat hanh od phiéu thing cho ob dang 1a hing nguén nio sau day: a. Vén chil sé hau b. Thang du vin c. Quy dau tr phat wigs 4. Loi nhuga tich ty c. Chua, b,¢,d” -f. Caw bed Cau 32: Cc triémg hgp nao sau diy phai thue hign chdo mua cong khei ¢é phiéu 6 quyén biéu quyét cila Cong ty dai ching: a, Chao mua din dén sé hiru 2 25% cd phiéu dang lu hanh b, Déi tugng chio mua bj bit bude ban cé phiéw ma ho sé hitw . ¢, Chao mua cé phiéu cia thanh vin HDQT/Thanh vién sing lap Si twang lacé dong chién hyge cia cong ty\ ign chao ban trdi phiéu ra cong ching Chu33; Didu i thiéu la 10) VND , a. Vén di b. Hoat'dong ki Khong ¢6 ng qua han trén | nm . pith “& Phuong én phat hanh, sir dung va tri ng duge Dai hi ddng cd déng/ Héi ddng quan tri Hgi déng thanh vién hode chi sé hi vén thong qua TS chife phat hanh cam két thanh ton, bao dim quyén va loi ich hop phap ctta nha dau tr ‘ e. Cauab,d f, Cau a. bi e.d. Byiéu ign chao biin'chimg chi quy ra cng ching _ a. Tong gid trj chimg chi quy dang ky chao ban tdi thidu 1a 50 1y VND b. Hoat dong kinh doanh cilia niim lign ké cé Iai, va khong c6 13 lay ké* ¢. Phuong dn phat hanh, dau tu vén phi hop véi mye tiéu cia quy va Luat dinh . Vige cng bé théng tin ctia cde 18 chite cd nghia vu céng bé thing tin (cOng'ty dai ching, t6 chic niém yét, céng ty quan ly quy) do c& nhin nio sau day thuc hign: . . a. Gidm déc (Téng Gidm déc) b. Chi tich HBOT . A . ce Ngudi dirge dy quyén céng bé théng tin . a. € j ¢, Ciua, b,c . cal 36: Thai han liu tri théng tin (Bao edo tdi chinh nam, Bao cdo thiéng niga) “etla'té chite céng bé théng tin li a. = bnam a b.22 nam ¢, = S.nami ~d) 210 nim C4u 37; UBCKNN cé quyén dinh ehi chao ban chimg khodn ra céng ching trong trudng hop ndo sau day: , ect 4. Ho so chao ban cé thang tin sai léch hay bé s6i ndi dung qitai trong b. Vige phan phéi chimg khodn khéng bao dam nguyén tic eéng bang, cong khai 5 ©. Tién mua chitng khodn khong duge chuyén vao tai Ktiodn phong téa ma gan hang chi dink > 4, Tat cd ede cfu trén Cau 38: Cong ty dai chting phai céng bé nhiing théng tin ndo sau day trong vong 24 gio: : eee 4. Tai khoin ngan hing bj phong ta hoc hoat dong tré lai b. Tam ngimg kinh doanh tai 1 Ht doanh oda nim lién ké cd Idi, va khdng 6 16 lay ké,c. Quyét éinh vay hoc phat hanh tai phiéu cd gid ti 2 30%. von thyc co. SL Thang bio cia Oa én thy ly don yéu eu me ‘hd tye pha'san ey ce. Civa, dod : f. Cinab . Cau 39; Céng ty dai ching phai cdng b6 nhtng théng tin nao sau dy trong Vong 72 gid 5 a, Bj thu hei gidy, chimg nhén dang ky kinh doanh, 7 b, Thanh vien HDQT, Ban gid 66, Ké todn truég bi Khoi to © Quyét dinh ké hogeh phat tién trung han d. Thay aéi phuong phép ké toda e. Ciuab,c,d f. Ciued* . 40: Mite phat tién do vi pham cong bé théng tin 1a a. Tir 10 trigu dén 30 triéw sti 5, Phat tién tir 10-dén 30 trigu dang. b, Tich thu toan b6 ching khoan sé dong i pham c. Tich thu cdc khoan thu dirgé tr hanh vi'vi phain nay d, Ciua,b e. Cia, b, ¢ f. Clube Chu 42: Cé akan thyre hign hanh vi gian Fin valli dio trong giao djch ‘chung: (chod chi sé ehju hinh thite xt phet nio sau diy’? a. Phat tién tir 30 dén 50 trigu dang . . Tich'thu-toaA bé chimg khiodn st dyng 4& vi pham, @. Toh thu cdc Khoa thu duge than vi vi pham nay d. Ciua,b we. Cina bit f Caub,¢ , Cau 43: Cong ty quin ly quy vi pham quy dinh vé hoat dong kinh doanh fhi sé chiu hinh thitc xi phat nao sau day * a. Phat tign tir 5 trigu dén 50 trigu déng, b. Tuée quyén sir dung eidp phép thank lip va host dng cd thet han ¢, Tish thu ede khodn thu trdi phap Iuat 4, Ciua,b xe, Cimboe f. Civ a,b, c . : Ci 44: Hah vi nao sou diy duge xem ta vi pham ota céng ty niém yét mua lai 8 pliiéu cita chinh minh:“bog thai thong tin tntée ngay b. Khéng céng bd day'dii théng tin 1 ¢, Raa ra'cé phiéu trong vong 3 thang, ké tir ngay mua lai *d/Cfu a,b . se. Cu bie f. Clu a,b, ¢ Cau 45: Quy dau nr duge tt chimg chi quy cho ngudi nu lap theo phép luat Vigt Nam va chao bin toan bé oi phai dap tg nhing diéu kién nao sau day: a. Duge dai hoi cd déng/ndi ding thanh vién cong ty quan ly quy chap thugn b, Cé phuong an phat hinh, phuong én dau tr fe. Cé lai trong 2 nam lién ké va khong co. 18 lay ké d. Ciu a,b c. Cau b,c f£. Cau a, b,c Cu 46; Ngan hing giém sat ruin theo quy dinh sau, ngoai tri: a, Dée ldp, khong pliai a ngwdi cé lién quan cia céng ty quan ly qu? b. Khéng duge phép mua chimg chi-quy ea cong ty quin ly quy ¢. Bue phép kY két cae hop dang hop tie kinh doanh voi cong ty quan W guy, 4, Phai c6 tdi thigu 2 nhan vién nghiép vy gies sét méi quy Cu 47; Quy dai chiing dang déng bj gidi thé trong tuémg hep nao’ sau diy: a. Hét thoi han host déng . b. Dai hoi nha dau ne ty nguyen hay quyét djnh gidi ©. Quy bj 16 hay gid tr] tai san rong bi am sd, b «Cau bye a, be C4u 48: Nguyén tic xéc din gid ota chiing chi quj niém yét ela quy dai ching dang ding: a. Gid dong ctra cia ngay giao dich gin nhdtinrée gay dinh gi b. Gia trung binb eda ngay giao dich gin nhét rude ngay dinh gia iid do cdc cOng ty ching khodin ty vin 4. Cu b, . ¢ Cus ae cas 49; Nhig thay 44i nio sau day cla céng ty quan ly qu? phai co sy chdp thivia eda UBCKNN: a. Thay déi tru sé chinh, chi nhinh b. Céc giao dich vurgt qué ty 18 nim git 5% tai céng ty quan ly quy £. Trg hop chia, tach; sit nhap, hop nhét, gidi thé, phd san au a, bcruan ché déi voi hogt dng cla cong ty quan ly quy, ngoai tri: 2, Sit dung tai san clia quy 4é daw tir Vio chin quy.d° 1 b. Sir dung a sin quy dai ching dé diu nu vio quy dau tw khic o. Srt-dusny {hi sin qu? dai ching 42 gop vn lin doanh ign két vio eémg ty none 61ién quan d. Si dung tai sin wy thc dé cho vay, than toén cdc thodn ng €. Sir dung tai san quy dé bao lath ede khodn vay cia cong ty 51: Chanh Thanh tra chimg khodn cé quyena a. Phat cinh eho b. Phat tién téi da dém 70,000,000. déng dai véi cdc hanh vi vi pham A in php khie phuc du qua ie Cu a,b, ©. chu 52: Chi tich Uj ban Chimg khodn Nha nude ¢6 quyén “a. Phat cinh céo; = b. Phat tién tdi da dén 70,000,000 dong; £ c. Ap dung bign phap xiz phat bé sung'va bién phép-khde phye haw qua’ d. Civ'asb . \e. Cia be a f Ciuae aR | Cau 53: Digu kign phat haph-chimg chi quy lin du ra‘cdng ching: | himg chi qui ding ky chao bin it nhat 50 (nam muoi) ty ding Viét b. Cé phrong an phat hank va phuong an déu nr sé von thi duge tir dgt chao ban chimg chi quy; c. Cé quy trinh nghigp vy quin ly quj, quy tcinh kiém sodt ngi bG, quy trinh quan IY rai ro phi hop. 4. Céloi nhudn ducmg trong 2 nm lin ké va king 06 16 lay ké, khéng 66 ng qué hon £ Ciwa,b,e,d Cau 54; Didu kign phdt hanh chimg chi quy cho ede lan tlép theo: a, Dikvlé Quy cé quy dinh vé vige tng von cua Quy; ‘ 'f b. Loi nhudn cia Quy trong nim tin trade nam dé nghj ting vyén phai 1 7 \ duong: oe “ 6. Cong ty quin.ly quy khong bj xit phat, vi pham hank chinh trong thd hin, hai (02) ndm, tink dén thoi.diém ting vin; a d. Phuong dn phat anit thém chimg.chi quy va phuong dn dau tu sé vén thu: duge phai duge Dai hdi nha fu tur thong qua. e, Ciua,b,d f Cau a, bied 55: Céc doanh nghiép nha nude str dung vén cia Nha aude dé mua ching chi uy, hanh vi nay la: a. Ding be Sai c. Phai dugc sy déng ¥ cla co quan cht quan doanh nghiép au 56: Vigc xdc dinh gia trj chiing khodn chia niém yét dé tinh gid tri tai sin ca Jug thye hign theo cdc nguyén the sau: a. Gid_gino dich trung -binh duo. cung cip béi ba (03) edng ty ching khodn Ishdng ed lién quan dén Céng ty quan ly quy va Nein hing giim Isat b: Gid giao dich trung binh duge cung cp bai nam (05) céng ty ching khoan khong 06 lién quan dén Cong ty quin ly quy va Ngan hang gidm sat c. Bing 80% gi tri sé sich cia mot cé phidu tai ngdy lép bing can Adi kd todn gin nhit 4. Buge-xdc dinh theo nguyén tic dinh gid da duage Neéin hing giam sat ding ¥ va Dai hdi nha dau tr chip thuan. ‘au 37: Viée xdc djnh gid tr} bat déng san dé tinh gia trj tai sin cua Quy thyc hign wo cae nguyén tic sau: a. Phai Guoe dinh gid boi mat th chire dinh gid doc Hip duce sw dan; cua Ngfin hing gidm sét va duge Dai héi nha dau tw chap thnan. b. Dinh gia theo gid tj thj trong * ¢. Binh gid theo quy dinh cilia nha nude d. Dinh gid theo quy dian tong digu 1é quy4.mét sé cau hdi trac nghiém luat ck PHAT HANH CHU'NG KHOAN Cau 4: Theo any dinh hign hanh, chao ban chizng khoan ra cong ching bao gdm: 4. Chao ban c& phiéu, ching chi quy lan dau 2. Chao ban thém 09 phiéu, ching chi quy 3, Chao ban trai phigu. Chao ban quyén mua cé phan cho ob dong hién how Phvong an: a. Chit b. Chi 1,2 c. Chi 1,2, d. Tat c& Cau 2: Hién nay, Khi thyc hién ban cb phan ctia DNNN, quy,dinh d6i vei cd dong chién luge nhu sau: 2 a.Cam két nam gitr 3 nam va gid mua gidm 20% so voi gia dau binh. quan. c. Cam két nim gifr 3 nam va gié mua khéng thap hon so véi binh quan. d. Cam két ndm git 3 nam va gia mua giém 10% so voi gia 4u binh quan. + b. Cam két nam git 3 nam va gia mua gidim 25% so voi gid dau binh * ia dau quan. Cau 3: Anh (chi) hay cho biét Bidu kién chao ban cd phiéu lan dau ra cong ching hign nay bao gdm: 4. Von didu Ié a4 gép tir 10 ty dong tré Ién tinh theo gia tri sé sch. 2. Vén didu Ie tir 10 ty ddng tra [én theo gidy ching nh&n dang ky kinh doanh 3, Hoat d6ng kinh doanh cia mét nam li&n truée nam ang ky cé lal va khdng 6 18 lay ké. 4, Hoat dgng kinh doanh cla hai ndm lin trvéc nam dang Ky c6 lai va khang o6 18 lay ké. 5. C6 phuong an phat hanh va phwong an si dung vén duge DHDCD thong qu hur Phyong an: a. Chi4,3 b.cht 1.45 ©. Chi 23,5 4. Chi2,4,5 e. Chi 1,3,5 Cau 4: Theo quy dinh mua lai cd phiéu cla chinh minh lam cd phiéu quy hign nay, céng ty dai ching duge phép mua trong cdc truéng hyp, ngoe! tt a. Bang kinh doanh thua [8 ho&e daag c6 ng qué han.Goyet BYb. Dang trong qua trinh chao ban cd phigu 68 huy déng thém vén. c Bang thyc hién tach, gop od phiéu. d. Cd phiéu cla cng ty dang Ia ‘d6i twgng chao mua céng khai. e. Tat ca cac trong hyp trén Cau 6: Tho’ han thyc hin giao dich mua Iai cb phiéu cia chinh minh hay ban ¢@ phiéu qui cla cong ty dai ching hien nay I a, 30 ngay b. 60 ngay c. 90 ngay d.6 thang Cau 6: Theo quy dinh hién nay, ké tir ni han dé 16 chire phat hanh phai hoan tra a. 15 ngay b. 30 ngay c. 45 ngay d, 60 ngay Cau 7: Hién nay thai han t6i da ma UBCKNN co thd dini chi viée chao ban chieng khoan ra céng ching déi vei td chive phat hanh: a. 30 ngay b. 60 ngay c. 90 ngay d.120ngay e. 45 ngay ‘Cau 8; Anh (chi) hay cho biét, theo qui dinh hién hanh ké tir ngay két thie Got chao ban, t6 chire phat hanh phai chuyén giao ching giao ching khoan hay gidy ching nhan quy€n s@ hou ching khoan trong thoi han: a. 15 ngay b. 30 ngay c. 45 ngay d. 90 nga . Cau 278 chic phat hanh phai hoan thanh vige phan phéi cb phiéu trong vong: » 45 ngay kB tir ngay gidy chiong nhan ding ky phat hanh of higu We. b. 60 ngay ké tir ngay gidy ching nhan dang ky phat hanh co higu lye. BJs ngay ké tir ngay gidy chang nhan dang ky phat hanh cé hig Wwe. . 90 ngay ké tir ngay gldy chéng nhan dang ky phat hanh cé higu lye. Cau 10: Theo quy dinh hign hanh, digu kign nao sau day la ding S6i voi dgt chao ban bi hiy bé thei tién cho nha dau tu: 4. Téng gid tri chizng chi quy dng kj chao ban 161 thigu 50 ty ddng. 2. Tang gia tri cheng chi quy dang ky chao ban t6i thidu 10 ty ddng. 3, C6 phuong én phai hanh va phirong ‘4n dau tu sé vén thu duge phi hop véi quy dinh. i uige chao ban ching chi quy phai dura UBCKNN chap thue Vide chao ban ching chi quy duvve.thire hien déng thdt vai vige xin phép lp quy.Phuong an: ©. Chi2,3,5, Cau 11: Didu kién nao la khdng ding khi phat hanh cé phiéu theo chuong trinh Iya chon cho ngudi lao dong: 4..Cé chong tinh Iva chon va ké hoach phat hanh due DHBCD thong qua. 2. Téng sé cd phiéu phat hanh khéng duge vugt qua 5% vén digu |é. 3. Téng sé cd phiéu phat hanh khéng duge vuot qua 5% vin cé phan dang lwu hanh. 4, Chi'c6 ngurdi lao dong cé déng gép nhiéu thanh tich cho céng ty. Phuong an: a.Chi2 b.Chi3 6. Ca2vad d.Ca3va4 Cau 12: Sau khi két thic dot phat han, td chirc phat hanh phai bao cdo UBCKNN trong théi han: a. 7ngay b. 40 ngay c. 20 ngay d. 30 ngay Cau 13: Ké tir khi nhan ducs gidy cheng nhan chao ban, td che phat hanh phai céng bé ban théng bdo phat hanh: a. Trong thei han 7 ngay b. Trong thi han 10 ngay c.1sb bao 4.3 86 bao lién tiép e.Caavad Cau 14; Khi UBCKNN dinh chi det chao ban thi té chirc phat hanh phai ‘cong bé théng tin v8 vige dinh chi trong thai han bao nhiéu ngay: a7 ngay b. 10 ngay c. 15ngay 4. 30 ngay Cau 15: Thoi han dng ky mua ching khodn cho nha du tu: a. 15 ngay lam vier b. 15ngay c. 20 ngay d. 30 ngay NIEM YET CHUNG KHOAN°Cau 1 Tho quy dinh hién hanh, diéu kién niém yét cd phiéu trén SGDCK bao gdm: 1. Von didu Ié tiv 80 ty ddng tro len, 2. Hoat dong kinh doanh 02 nam lién trade nam dang ky niém yét c6 Iai. 3. Hoat dong kinh doanh 04 nam lin trudc nam dang ky niém yét c6 la 4, C6 ng qua han chua duge dy phong 5. It nhat 20% cp 66 quy€n bidu quyét do it nhat 100 od déng ndm gitr. Phuong dn: a. Chi 1,2,4,5 b. Chi1,3,4,5 Chi 1,2,5 |. CHI ,3,5 e. Chi 1,2 Cau 2: Hign nay, thei han d& SGDCK hay TTGDCK chép thuan hay tir chéi dang ky niém yét ké tir ngay nhan di hd so hop lé: a. 20 ngay b. 30 ngay ©. 45 ngay d. 90 ngay Cau 3: Theo quy dinh hién nay, didu kién vén didu lé khi dng ky niém yét gitra c& phiéu va trai phiéu doanh nghiép cé khac nhau khong? a. khéng b. 06 Cau 4: Hign nay, diéu kién nao la ding déi véi HDQT, BGD, 8KS, KT cam két nam git? cd phiéu khi dang ky niém yét cd phiéu: a. Nam git 50% s6 od phiéu minh sé hivu trong thoi han 01 nim ké te ngay niém yét. b. Nam gitr 100% sé cé phiéu minh s& hiu trong thei han 01 nam ké ti ngay niém yét. c. Nam gif 100% sé of phiéu minh s& hiru trong thei han 06 thang ké tir ngay niém yét. d. Nam git? 100% sé cd phiéu minh s& hivu trong thoi han 06 thang ké tir ngay nlém yét va 50% sé cd phidu nay trong 06 thang tip theo. e. Nam gi 50% sé cé phiéu minh s& hu trong théi han 02 nam Ket ngay niém yét. f. Nam git’ 50% sé 8 phiéu minh s@ hivu trong thdi han 06 thang ké tt ngay niém yét. Cau 5: Bidu kién nao la khéng ding déi voi DN 100% vén NN chuyén adi thanh CTCP dang ky nim yét tai TTGDCK theo quy dinh hién hanh: a. Von didu Ié tlr 10 ty ddng tre len. b. Hoat d6ng kinh doanh ctia nam lign truéc nam dang ky khéng cé Iai, c. Cé phiéu c6 quyén biéu quyét do 100 o8 déng nam git. d, HDQT, BGD, BKS, KTT cam két nam gitr 100% s6 cd phiéu minh s& hou trong 06 thang ké tiv ngay niém yét va 50% sé cd phiéu nay trong thoi han 06 thang tiép theo. e. Tét ca dbu sal.cau 11: Céng ty dai ching, cdng ty niém yet ikhi thy hign bao o40 cho UBCKNN, SGDCK, TTGDCK thi tai figu gm: a. Dif ligu bang van ban b. Dar ligu dign t c. Ga hal