Đề thi môn thị trường chứng khoán (6)

HQC VIEN NGAN HANGD THI KET THUC HQC PHAN: KHOA TAI CHINHThi trudng ch&ng khodn (FIN13A) BE THI S6 04 Thdi gian 1dm bdi: 90 phut Ap dung cho DHCQ Cathi: ^p ; Ngfty tM: ^Hf/t* ; Ngudi duyet dl: Dgi dien Phong TT-QLCL:^irL^.; Ngfty dujtetdl: I - LQA CHQN PHUONG AN TRA L6H DIING NHAt Cau 1: Ai lft chu sd httu cdng ty cd phan: A.Cd ddng nlm giii cd philu thudngC Ngudi nam giii trfti pMeu B.Cd ddng nlm gift cd philu uu daiD Cft A vft B Cau 2: Vi|c phat hftnh co philu lftm tftng: A Ng cdng tyC Vdn cd phin cdng ty B.Tfti sftn cdng tyD Cft B vft C Cau 3: Co pMlu uu dfti cho phep nhft dlu tu nhan dugc mftc cd tftc cua cftc nam trudc tiong trudng hgp cdng ty chua cd khft nang cM trft A.Co philu uu dai dg phinC Cd pMlu uu dai tich luy B.Cd pMlu uu dai cd tftcD Cd philu uu dai khdng tich luy Cau 4: Quy dau tu chftng khoftn dgng dong cd dac diem: A.Vdn dilu 16 cua quy thudng xuyen biln d$ng B.Chftng chi quy dugc giao djch tren thj trudng thft clp C.Quy^ cd ngMa vu phfti mua lgi chftng chi qu^ kM nhft dau tu yeu cau D.Tit cft cftc phuang ftn tren dlu dftng Clu Sd giao djch chftng khoftn lft: A.Thj trudng giao djch tap trungC Thj trudng giao djch tg B.Thj trudng giao djch phi tap trungD Khdng cd dftp ftn dung Cau Logi chftng khoftn nfto sau day dugc Mem yet tgi cftc Sd giao djch chftng khoftn: A.CopMluC Chftng chi quy B.Trfti pMeuD Tat cft cftc phuang ftn tien Clu Dgc diim nfto sau day KH6NG dftng vdi thj trudng chftng khoan sa cap: A.Lft thi trudng huy ddng vdn cho td chftc phftt hftnh B.Lft thj trudng tgo tinh khoftn cho chftng khoftn cua td chftc phftt hftnh C.Gift giao djch chftng khoftn teln thj trudng sa clp thudng td chftc phftt hftnh quy djnh D.Td chftc phftt hftnh cd th! tg phftt hftnh chftng khoftn cho nhft dlu tu Cau Phuang thftc Bfto lanh phftt hftnh (BLPH) td chftc Bfto lftnh phftt hftnh cam kit thgc Men mua mgt phin hoftc toftn bd sd lugng cd pMlu phftt hftnh sau bftn lgi cho nhft dlu tu lft: A.BLPH tdi titilu tdi daC BLPH cam kit chic chin B.BLPH cd glng tdi daD BLPH tit cft hoac khdng Cau Theo quy djnh Men hftnh, chu ky toftn tgi thj trudng chftng khoftn Viet Nam lft: A.T+3, teong T lft ngfty giao djchC T+2, tiong T lft ngfty giao djch B.T+3, teong T lft ngfty tiong tuinD T+2, teong T lft ngfty tiong tuin Clu 10 Tgi thdi diim gid 26 phut ngfty thft (11/10/2021), mot nhft dlu tu mudn dat l|nh mua cd philu mem y!t tgi Sd giao djch chftng khoan Hft Ndi, tM nhft dlu tu nfty cd th! dat cftc lenh nfto teong sd cftc lenh sau day: I-LenhLO;II-Llnh ATO; 1/3 V-L|nh ATC Ill-Lenh MP; IV-L6nhMTL; A I&IIB I & IIIC I&IVD I, II, IV Clu 11 Theo thdng tin dugc cung cap tft cftc hinh dudi day, tM sftn giao djch Tp- Hd CM Minh cd bao nMeu ma cd pMeu cd giao dich: A 53B 88C 221D 461 Clu 12 Cd philu HPG dang cd thj gift lft 50.000, m|nh gift 10.000, ty 1| chi trft co tftc bing tien m|t 10%, nhft dau tu se nhgn dugc gift trj cd tftc bang tien lft: A.1.000 ddng/cd pMluC 10.000 ddng/cd pMlu B.5.000 ddng/co philuD Khdng cd phuang ftn dftng Clu 13: Nhft dlu tu A tham gia dot dlu gift co phin da gift, gift trung thlu binh quan lft 25.200 ddng, nlu nhu A dat thlu 1000 cd pMlu tgi mftc gift 26.000, kit quft tiling thlu cua A lft: A.A si tiling thlu toftn bg 1000 co pMlu tgi mftc gift tiling thlu 25.200 ddng B.A se tiling thlu toftn b| 1000 cd pMlu tgi mftc gift tiling thlu 26.000 ddng C.A si tiling thlu 500 cd pMlu tgi mftc gift 25.200 ddng D.Khdng cd phuang ftn dftng Clu 14 Nhft dlu tu A mua quyln chgn bftn 100 cd philu ky hgn thftng vdi gift thgc hign 40.000 ddng/cp vft pM quyen chgn bftn lft 200.000 ddng/hgp dong Nlu sau thftng, gift cd pMlu lft 41.000 ddng, lgi nhuan cua nhft dlu tu A tinh teln hgp dong si lft bao nMeu A.NDT A IM 200.000 ddngD NDT A lo 100.000 ddng B.NDT A lo 200.000 ddngE Khdng cd phuang ftn dftng C.NDT A I3i 100.000 ddng Clu 15: CTCP X dugc phep phftt hftnh 10 trieu cd philu theo Dilu 1| cdng ty, cdng ty phftt hftnh dugc trigu co pMlu, teong cd trigu cd pMlu ngan quy Vay cdng ty cd bao nMeu cd pMlu dang luu hftnh? A.9 teigu cd philuC trigu cd philu B.8 teieu cd philuD 10 trieu cd philu II - NHAN DJNH DUNG/SAI VA GIAI THICH NGAN GQN Clu 1: Trong phuang thftc dlu thlu ttfti phieu da gift, nhft dlu tu dua mftc lai suit cftng cao vft khftc Met vdi cftc nhft dlu tu khftc si cftng dugc uu tien Clu 2: Thj gift cua cd philu cftng cao tM gift tri vdn dieu 16 cua doanh nghilp cftng ldn Clu 3: Trich thdng tin tu bftng gift chiing khoftn nhu sau: don vj -1000 ddng M3CK Gift teln Giftsftn Gift tham cMeu Gift cao nhat Gift thlp nhlt 157.8 146.8 155 160 168.8 Tir bftng gift cd th! thly, cd pMlu DGC dugc giao djch vai bien dao ddng lft 10% DGC III-BAIT^P Bai Sd Giao djch Chiing khoftn Thftnh phd Hd CM Minh thdng bfto v! ngfty dftng ky cuoi cung nhu 2/3 -To chiic Mem y!t: Cdng ty cd phin Dlu tu Djch vg Tfti chinh Hoftng Huy -M3 chiing khoftn: TCH -Logi chiing khoftn: Cd philu phd thdng -Minh gift: 10.000 ddng (Mudi nghln ddng) -Ngfty giao djch khdng hudng quyln: 10/09/2021 -Ngfty dang ky cudi cdng: 13/09/2021 -Ly vft mgc dich: Trft co tiic nam 2020 bing co pMeu vft thgc M|n quyln mua cd pMlu 1.Trft co tuc nam 2020 bing cd philu -Ty 16 thgc M|n: 20:1 -Sd lugng cd pMlu dg kiln phftt hftnh: 19.958.787 cd pMlu 2.Thuc Men quven mua cd phieu -So lugng chiing khoftn dg kiln phftt hftnh: 199.587.872 cd philu -Gift phftt hftnh: 12.800 ddng/cd phieu -Ty 1? thgc Men: 2:1 -Quy djnh v! chuyin nhugng quyln mua: + Thdi gian chuyin nhugng quyln mua: Td ngfty 16/09/2021 din ngfty 04/10/2021 -Quy djnh ve chiing khoftn dat mua: + Thdi gian d3ng ky dat mua vft ndp tiin mua cd pMlu: Td ngfty 16/09/2021 din ngfty 06/10/2021 Ylu clu: Tinh gift tham cMlu, gii teln, gift sftn cua TCH tgi ngfty giao djch khdng hudng quyln Bilt ring thdng tin thdng ke vl ngfty giao djch 9/9/2021 nhu sau: M3 cd pMeu Gift md cua Gift ddng cua Gift cao nhSt Gift thap nhat Thay ddi (+/-%) TCH| 18.750| 18.500| 19.050,18.500|-0.5 (-2.63%) Nhft dau tu X, tinh tdi ngfty 8/9/2021, Men dang nam gift 2.000.000 cd philu TCH X khdng thgc Men bat ky giao djch mua them hay bftn cd pMeu TCH nhdng ngfty sau Nlu X dg djnh cM thgc Men 40% sd quyln mua cd philu mft X cd vft bftn sd quyln mua cd phieu cdn lgi Hfty cho biet X can ndp bao nhilu tien de thgc Men quyln mua cd phieu (ding ky dat mua vft ndp tien mua cd phieu) vft sd tien thu dugc tir viec bftn quyln (dga teen gift trj ly thuyet cua quyln mua) cuaX Bai Cdng ty PHAT DAT tiin hftnh dlu gift cd phin theo hinh thiic da gift, sd lugng co phin dlu gift lft trieu cd phan, gift khdi diem lft 15.000 ddng/cd pMeu Tgi thdi diem ddng thau, cd cftc du lieu sau: Nhft dlu tu Gift dat thau (1000 VND) Khdi lugng dat (cd phin) A B 25,1 300.000 24,6 220.000 C 18 180.000 D E 20,2 450.000 22,1 300.000 Yeu clu: 1.Xftc djnh so cd phieu tiling thau ciia cftc nhft dlu tu 2.Tinh sd tiin nha dlu tu D phai n|p them Biet ring ty le d&t cpc la 10% Sinh vien KHONG dugc su dung lam bdi thi 3/3 ... cd philuC trigu cd philu B.8 teieu cd philuD 10 trieu cd philu II - NHAN DJNH DUNG/SAI VA GIAI THICH NGAN GQN Clu 1: Trong phuang thftc dlu thlu ttfti phieu da gift, nhft dlu tu dua mftc lai... gift trj ly thuyet cua quyln mua) cuaX Bai Cdng ty PHAT DAT tiin hftnh dlu gift cd phin theo hinh thiic da gift, sd lugng co phin dlu gift lft trieu cd phan, gift khdi diem lft 15.000 ddng/cd pMeu... nha dlu tu D phai n|p them Biet ring ty le d&t cpc la 10% Sinh vien KHONG dugc su dung lam bdi thi 3/3