Thanh Hương - UBCKNN - 2007
Thanh Hương - UBCKNN - 2007
1
1





 !
 !
"#$%&!'#(
"#$%&!'#(
Thanh Hương - UBCKNN -
2007
2
)$*"++,-
)$*"++,-
.
.
/
#$%#(

+0*
+0*
/
&!'#(;<
&!'#(;<
/
&=>?@=A
&=>?@=A
/
&45
&45
Thanh Hương - UBCKNN -
2007
4
)$*"++,-
)$*"++,-
.
.
/
8 !"#$%.
8 !"#$%.




?B$+C+D*
?B$+C+D*
Thanh Hương - UBCKNN -
2007
5

/
8K9(+D*",9.+9#
8K9(+D*",9.+9#
/
8F.=.B(B?
8F.=.B(B?
Thanh Hương - UBCKNN -
2007
7
8O
8O
Kinh doanh CK
Kinh doanh CK
/P&++G+
P&++G+
/
8K2#
8K2#
/
M)
M)
/
85"Q45
85"Q45
/
5'@
5'@

+D.795G#(3*
+D.795G#(3*
T(?$+#R*55EBF
T(?$+#R*55EBF
B+#RU9E8)BFB+9
B+#RU9E8)BFB+9
&:
&:


Thanh Hương - UBCKNN -
2007
9
8O
8O
/
Tổ chức BLPH
Tổ chức BLPH
?5EM)"
?5EM)"
8P5EQBM)9(+B+
8P5EQBM)9(+B+
/
TCPH
TCPH
? !K+D)9&
? !K+D)9&
:
:
/

(=,'(.5X+WO
Thanh Hương - UBCKNN -
2007
11
5X+H?+0=
5X+H?+0=
/
3&+3*Y3*Y&+3"E3Z3#3
3&+3*Y3*Y&+3"E3Z3#3
#&+33[*9%.(F
#&+33[*9%.(F
/
8 !H(F?F"+03
8 !H(F?F"+03
181.WO\] B+?5
181.WO\] B+?5
H=,+T=
H=,+T=
/
8C838CM'+T*#(31813
8C838CM'+T*#(31813
)1)81"(!2=>?@'(
)1)81"(!2=>?@'(


Thanh Hương - UBCKNN -
2007
12
5X+H?+0=
5X+H?+0=


P13863M)38C8
P13863M)38C8
/
Tổ chức kinh doanh CK là
Tổ chức kinh doanh CK là
3
3
=?=
=?=
,
,
=?@8_38K+D639`
=?@8_38K+D639`
a\P13863M)38C836P3
a\P13863M)38C836P3


Thanh Hương - UBCKNN -
2007
14
8O
8O
/
Người HNCK
Người HNCK
?5X+?*"+D$+"9N
?5X+?*"+D$+"9N
0*&9#"H
0*&9#"H

M88+?DL*?&+'e#3f:++7*3
M88+?DL*?&+'e#3f:++7*3
(#RM88'&'BX+3'&4
(#RM88'&'BX+3'&4
.(%
.(%?G+(
?G+(


Thanh Hương - UBCKNN -
2007
16
("+Q*
("+Q*
/
_V2788+%+%T*3(3+?%3
_V2788+%+%T*3(3+?%3
QB88+%+%#R5"Q*3(
QB88+%+%#R5"Q*3(
/
8&Z*3($#34+>
8&Z*3($#34+>
$#
$#
/
16L(Q'3?&+'e#?+07
16L(Q'3?&+'e#?+07

8K2#
/
M)
M)
/
85"Q45
85"Q45
/
5'@
5'@
j-5EBeBK+DM)'+H86
j-5EBeBK+DM)'+H86
j5E
j5EQB
QB8C8"2"7+N'(
8C8"2"7+N'(
Thanh Hương - UBCKNN -
2007
19
+,'+DQB1+QBeB
+,'+DQB1+QBeB
/
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_8C_?
cá nhân
cá nhân
B>+
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HC6_
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pháp nhân
pháp nhânB>+
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+"kBl38
*(N3B4*,*163988++DV3
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3+
3+
,
,
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3?59O+?+D"m`16+"G+
HP1386
HP1386
jDBl(O(
jDBl(O(
jD+3>#"D
jD+3>#"D
Thanh Hương - UBCKNN -
2007
22
CB(B
CB(B
/
P1ghnC6
P1ghnC6
/
8K2#gnC6
8K2#gnC6
/

/
-2^".*S3'&2^".
-2^".*S3'&2^".
(45
(45
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)>+P+Z"
)>+P+Z"
Thanh Hương - UBCKNN -
2007
24
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/

M8'+T*#(
M8'+T*#(

Trích đoạn Điều kiện nhân sự •TGĐ (GĐ)TGĐ (GĐ)

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