TTGDCK TPHCM ban hanh Quy che cong bo thong tin

Ngay 8 -6, Giam doc TTGDCK TP.HCM da ky Quyet dinh ve viec ban hanh Quy che cong bo thong tin cua TTGDCK TP.HCM.

TT tom luoc mot so noi dung cua quy che nay:

Quy dinh cong bo thong tin voi to chuc niem yet

Ngoai viec cong bo thong tin dinh ky, bat thuong hoac theo yeu cau, to chuc niem yet con co cac truong hop khac phai cong bo thong tin nhu:

Bao cao giao dich co phieu quy

To chuc niem yet muon mua lai co phieu cua chinh minh lam co phieu quy hoac ban co phieu quy phai dang ky voi TTGDCK theo mau CBTT/TTGDHCM-01 kem theo Quy che nay. Trong vong 3 ngay lam viec ke tu ngay nhan duoc ho so, TTGDCK TP.HCM se chap thuan hoac khong chap thuan cho to chuc niem yet tien hanh giao dich. Truong hop khong chap thuan, TTGDCK TP.HCM se co van ban giai thich ro ly do.

To chuc niem yet phai thuc hien cong bo thong tin ve viec giao dich co phieu quy theo noi dung da duoc TTGDCK TP.HCM chap thuan cham nhat 7 ngay truoc ngay thuc hien giao dich. Thong tin gom cac noi dung: Muc dich mua lai (hoac ban co phieu quy); so luong co phieu mua lai (hoac so luong co phieu quy duoc ban); nguon von de mua lai; phuong thuc giao dich; thoi gian thuc hien giao dich; ten cong ty chung khoan duoc chi dinh thuc hien giao dich.

To chuc niem yet khi hoan tat viec mua, ban co phieu cua chinh minh phai bao cao ket qua thuc hien cho UBCKNN, TTGDCK TP.HCM trong vong 3 ngay ke tu ngay ket thuc thoi han duoc giao dich de TTGDCK TP.HCM cong bo thong tin. Noi dung bao cao theo quy dinh tai mau CBTT/TTGDHCM-02 kem theo Quy che nay.

Bao cao giao dich co phieu cua cac co dong noi bo

Thanh vien HDQT, Ban giam doc, Ban kiem soat, ke toan truong cua to chuc niem yet va nguoi co lien quan khi co y dinh giao dich co phieu cua to chuc niem yet phai bao cao cho TTGDCK TP.HCM it nhat 1 ngay lam viec truoc ngay thuc hien giao dich va chi duoc phep bat dau tien hanh giao dich sau 24 gio ke tu khi co cong bo thong tin tu phia TTGDCK TP.HCM.

Noi dung bao cao theo quy dinh tai mau CBTT/TTGDHCM-03 kem theo Quy che nay. Trong vong 03 ngay lam viec ke tu ngay hoan tat giao dich nguoi thuc hien giao dich phai bao cao cho TTGDCK TP.HCM va to chuc niem yet ve ket qua giao dich, ty le nam giu co phieu sau khi giao dich va muc do thay doi ty le nam giu theo mau CBTT-04 kem theo Thong tu 38/2007/TT-BTC.

Truong hop Thanh vien HDQT, Ban giam doc, Ban kiem soat, ke toan truong cua to chuc niem yet va nguoi co lien quan khong thuc hien giao dich co phieu cua to chuc niem yet phai bao cao ly do voi TTGDCK TP.HCM trong vong 3 ngay ke tu ngay ket thuc thoi han du kien giao dich de cong bo thong tin.

Bao cao giao dich co phieu cua co dong lon

To chuc ca nhan nam giu hoac cung voi nguoi co lien quan nam giu tu 5% tro len von co phan cua mot to chuc niem yet va moi khi co giao dich lam tang, giam tu 1% tro len muc nam giu tren phai bao cao bang van ban cho TTGDCK TP.HCM de TTGDCK TP.HCM cong bo thong tin va thong bao cho to chuc niem yet trong vong 7 ngay ke tu ngay giao dich dat, vuot qua hoac giam duoi muc so huu tren.

Bao cao giao dich thau tom to chuc niem yet

To chuc, ca nhan hoac cung nguoi co lien quan co y dinh nam giu toi 25% von co phan hoac dang nam giu tu 25% von co phan tro len cua mot to chuc niem yet, moi khi co y dinh giao dich lam thay doi ty le nam giu cua minh phai bao cao bang van ban cho TTGDCK TP.HCM de TTGDCK TP.HCM cong bo thong tin va thong bao cho to chuc niem yet trong vong 3 ngay lam viec truoc ngay thuc hien giao dich.

Trong vong 3 ngay lam viec ke tu khi giao dich duoc hoan tat, nguoi thau tom phai bao cao bang van ban cho TTGDCK TP.HCM de cong bo thong tin va thong bao cho to chuc niem yet ve ket qua giao dich, ty le nam giu co phieu hien tai, thay doi ty le nam giu.

Bao cao giao dich chao mua cong khai

To chuc, ca nhan hoac cung nguoi co lien quan co y dinh mua cung mot luc voi khoi luong tu 25% tro len von co phan cua mot to chuc niem yet phai bao cao bang van ban cho TTGDCK TP.HCM de cong bo thong tin, thong bao cho to chuc niem yet va thuc hien giao dich thong qua phuong thuc chao mua cong khai.

Cong bo thong tin cua CK thanh vien, cong ty quan ly quy

Cong ty chung khoan thanh vien, cong ty quan ly quy thuc hien cong bo thong tin dinh ky, bat thuong hoac theo yeu cau phai tuan thu cac yeu cau quy dinh tai khoan 1, 2 hoac 3, muc V cua Thong tu so 38/2007/TT-BTC.

Trach nhiem cong bo thong tin cua cong ty chung khoan thanh vien va cong ty Quan ly Quy:

Cong ty chung khoan thanh vien cua TTGDCK TP.HCM co trach nhiem cong khai thong tin cho nha dau tu ve cac hinh thuc dich vu; phuong thuc dat lenh, nhan lenh, thuc hien lenh; muc phi giao dich; danh sach thanh vien Hoi dong quan tri, Ban Giam doc; dia chi tru so giao dich, chi nhanh va nhung thay doi lien quan den nhung noi dung nay.

Cac cong ty chung khoan thanh vien cua TTGDCK TP.HCM co trach nhiem hien thi thong tin giao dich trong gio giao dich tai diem 1.1, khoan 1, muc VIII va cong bo cac thong tin theo quy dinh tai khoan 2 va 3, muc VIII cua Thong tu so 38/2007/TT-BTC den cac nha dau tu tren cac phuong tien cong bo thong tin cua minh ngay sau khi nhan duoc thong tin tu TTGDCK TP.HCM.

Doi voi cac thong tin dinh ky, bat thuong, theo yeu cau, cong ty chung khoan thanh vien va cong ty Quan ly Quy thuc hien cong bo thong tin theo nhu quy dinh tai dieu 8, muc II cua Quy che nay.

Cong bo thong tin ve quy dai chung

Bao cao giao dich chung chi quy cua cac co dong noi bo:

Sang lap vien va thanh vien Ban dai dien quy dau tu chung khoan hoac thanh vien Hoi dong quan tri, Ban (Tong) Giam doc, Ban kiem soat (neu co) cua Cong ty Quan ly Quy khi co y dinh giao dich chung chi quy cua minh phai bao cao cho TTGDCK TP.HCM it nhat 1 ngay lam viec truoc ngay thuc hien giao dich.

Trong vong 3 ngay lam viec ke tu ngay hoan tat giao dich nguoi thuc hien giao dich phai bao cao cho TTGDCK TP.HCM ve ket qua giao dich, ty le nam giu co phieu sau khi giao dich va muc do thay doi ty le nam giu theo mau CBTT/TTGDHCM-08 kem theo Quy che nay.

Truong hop khong thuc hien giao dich, cac doi tuong giao dich quy dinh tai khoan a dieu nay phai bao cao ly do voi TTGDCK TP.HCM trong vong 3 ngay ke tu ngay ket thuc thoi han du kien thuc hien giao dich de cong bo thong tin.

Cong bo thong tin cua TTGDCK TP.HCM:

TTGDCK TP.HCM thuc hien cong bo thong tin theo qui dinh tai khoan 1, 2 va 3, Muc VIII cua Thong tu so 38/2007/TT-BTC bao gom:

Thong tin ve giao dich chung khoan tai TTGDCK TP.HCM;

Thong tin ve to chuc niem yet tai TTGDCK TP.HCM; thong tin ve cong ty chung khoan thanh vien, cong ty quan ly quy, quy dau tu chung khoan, cong ty dau tu chung khoan dai chung co co phieu niem yet;

Thong tin giam sat hoat dong cua TTCK.

Ban doc co the DOWLOAD TOAN BO NOI DUNG cua quy che.

TT