San giao dich chung khoan Nhom DUNG

1. S giao dch chng khon l g? S giao dch chng khon l th trng giao dch chng khon c thc hin ti 1 i im tp trung gi l sn giao dch (trading floor) hoc thng qua h thng my tnh. Cc chng khon c nim yt ti s giao dch chng khon thng thng l chng khon ca cc cng ty ln,c danh ting v tri qua th thch trn th trng v p ng c cc tiu chun nim yt.Cc loi chng khon ny c giao dch theo nhng quy nh nht nh v phng thc giao dch,thi gian v a im c th.2. iu kin nim yt chng khon trn mi sn:

Ch tiuS giao dch chng khon Thnh ph H Ch Minh(HOSE)S giao dch chng khon H Ni(HNX)S giao dch chng khon H Ni(UPCOM)

1. Vn iu l thc gp ti thi im ng k>= 120 t ng theo s k ton>= 30 t ng theo s k ton>= 30 t ng theo s k ton

2. S nm hot ng di hnh thc cng ty c phn>= 2 nm>= 1 nm>= 1 nm

3. T l li nhun sau thu/vn ch s hu (ROE) nm gn nht>= 5%>= 5%>= 5%

4. Hot ng kinh doanh02 nm lin trc c li, khng n qu hn trn 01 nm khng c l ly k tnh n nm ng k nim yt; tun th cc doanh quy nh ca php lut v k ton bo co ti chnhKhng n qu hn trn 01 nm khng c l ly k tnh n nm ng k nim yt; tun th cc doanh quy nh ca php lut v k ton bo co ti chnh01 nm lin trc nm ng k nim yt phi c li.Khng c cc khon n phi tr qu hn trn mt nm, hon thnh cc ngha v ti chnh vi Nh nc v c tnh hnh ti chnh lnh mnh tnh n thi im ng k nim yt

5. Cng khaiCc khon n i vi thnh vin Hi ng qun tr, Ban kim sot, Ban gim c, C ng ln v nhng ngi lin quanKhng quy nhKhng quy nh

6. Yu cu v c ng>= 300 C ng (khng phi l C ng ln) nm gi t nht 20% s c phiu c quyn biu quyt >= 100 C ng (khng phi l C ng ln) nm gi t nht 15% s c phiu c quyn biu quyt>= 100 C ng (khng phi l C ng ln) nm gi t nht 20% s c phiu c quyn biu quyt

7. Yu cu v nm gi c phiuC ng l thnh vin Hi ng qun tr, Ban kim sot, Ban gim c, K ton trng cam kt gi 100% c phiu nm gi t nht 06 thng k t ngy nim yt v nm gi 50% s c phiu ny trong 06 thng tip theo (khng tnh s c phiu thuc s hu Nh nc do cc c nhn trn i din nm gi)C ng l thnh vin Hi ng qun tr, Ban kim sot, Ban gim c, K ton trng cam kt gi 100% c phiu nm gi t nht 06 thng k t ngy nim yt v nm gi 50% s c phiu ny trong 06 thng tip theo (khng tnh s c phiu thuc s hu Nh nc do cc c nhn trn i din nm gi)C ng l thnh vin Hi ng qun tr, Ban Kim sot, Ban gim c, K ton trng cam kt nm gi 100% s c phiu do mnh s hu trong thi gian 06 thng k t ngy nim yt v 50% s c phiu ny trong thi gian 6 thng tip theo, (khng tnh s c phiu thuc s hu Nh nc do cc c nhn trn i din nm gi)

8. H sy v hp ly v hp ly v hp l

3. Phng thc giao dch ca sn chng khon:

HOSE ( SGDCK TPHCM)HNX( SGDCK HN )UP CoM (SGDCK HN )

PHNG THC GIAO DCH Giao dch khp lnhGiao dch tha thun

a. Phng thc khp lnh nh k so khp cc lnh mua v bn chng khon ti mt thi im xc nh.a. Tha thun thng thng: KH tm c i tc giao dch, CTCK nhp lnh vo hthng giao dch ghi nhn kt qu

b.Phng thc khp lnh lin tc so khp ngay khi lnh c nhp vo h thng giao dchb. Tha thun in t :KH cha tm c i tc giao dch, CTCK nhp lnh chm mua/cho bn vo hthng GD, la chn lnh ph hp thc hin

Ch p dng cho giao dch CP/CCQp dng cho c CP v Tri phiu

Giao dch tha thun : cc bn mua bn tha thun vi nhau v cc iu kin giao dch.Sau , giao dch s c cng ty chng khon thnh vin bn mua v bn nhp vo h thng giao dch ghi nhn kt qu (p dng cho c CP/ TP)

c. Nguyn tc so khp lnh Cc lnh c so khp theo th t u tin nh sau:u tin v gi: Cc lnh mua c mc gi cao hn c u tin thc hin trc; cc lnh bn c mc gi thp hn c u tin thc hin trc.u tin v thi gian: i vi cc lnh mua (hoc lnh bn) c cng mc gi th lnh nhp vo h thng giao dch trc s c u tin thc hin trcNu cc lnh i ng cng tha mn nhau v gi th gi khp s l gi ca lnh c nhp vo h thng trc.c. Nguyn tc so khp lnh- Tha thun in t ch c thc hin da trn lnh sn c trn h thng v tha mn hon ton v gi v khi lng- Khng c trng hp khp 1 phn- Khng c th t u tin v thi gian

4. Mt s ch tiu khc:

CH TIU SO SNHHOSE(SGDCK TPHCM)HNX(SGDCK HN)UPCOM(SGDCK HN)

1.Hng ha.Cc loi c phiu ,chng ch u t ,tri phiu c ng k nim yt ti SGDCK TPHCM.Cc loi c phiu ,chng ch u t ,tri phiu c ng k nim yt ti SGDCK TPHN.C phiu,tri phiu chuyn ng k giao dch ti sn UPCOM-SGDCK HN.

2.Thi gian giao dch.T Th Hai n Th Su hng tun ,tr ngy ngh l theo quy nh ca b lut Lao ng.

8:30-8:45:M ca,khp lnh nh k.Lnh s dng :ATO,gii hn (VO).8:45-10:15:Khp lnh lin tc.Lnh s dng :L.O.10:15-10:30:ng ca,khp lnh nh k.Lnh s dng:ATC,L.O.10:30-11:00:Giao dch tha thun.i vi tri phiu :ch c phng thc giao dch tha thun t 8:30 n 11:00.8:30-11:00:Khp lnh lin tc v giao dch tha thun.Lnh s dng :L.O.Sng :t 10h n 11:30.Thi gian ngh t 11:30 n 13:30.Chiu:t 13:30 n 15:00.Lu :Lnh c gi tr trong sut thi gian giao dch ,khng ht hiu lc trong thi gian ngh gia phin.

3.Ga tham chiu.Gi tham chiu l mc gi ng ca ca CP/CCQ trong ngy giao dch gn nht trc .Gi tham chiu l bnh qun gia truyn cc mc gi thc hin ca ngy giao dch gn nht trc .Gi tham chiu l bnh qun gia truyn gi giao dch tha thun in t ngy giao dch gn nht.

4.Bin dao ng gi.a. CP/CCQ:5%Gi trn =Ga tham chiu +5%.Gi sn=Ga tham chiu -5%.b. Tri phiu :khng quy nh.c. CP/CCQ ngy giao dch u tin:-CP/CCQ phi c mc gi khi im do t chc t vn xc nh lm gi tham chiu.-Bin dao ng gi:20%.-cch thc t lnh CP/CCQ ngy giao dch u tin ging nh CP/CCQ ang nim yt.-Khng p dng giao dch tho thun i vi CP/CCQ trong ngy giao dch u tin.a. C phiu:7%Gi trn=gi tham chiu +7%Ga sn=Ga tham chiu -7%.b. Tri phiu:khng quy nh.c. CP ngy giao dch u tin:-Ga khi im:khng quy nh.-Bin dao ng gi:khng bin .-Cch thc t lnh CP ngy giao dch u tin ging nh CP ang nim yt.a. C phiu:10%

b. Tri phiu:Khng quy nh.

c. Khng p dng bin i vi chng khon ngy u tin giao dch.Cch thc t lnh CP ngy giao dch u tin ging nh CP ang nim yt.

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