BQ GIAO Dl)C VA DAO Tl).O TRUONG Dl).I HOC KINH TE TP HO CHi MINH * * * * * NGO DUY TRQNG CAC GIAI PHAP TANG CUNG HANG HOA CHO THJ TRUONG CHUNG KHOAN VIETNAM Chuyen nganh: Kinh te'- Tai chinh - Ngan hang Ma s6 : 60.31.12 A LU~N "" ,., , , VAN TH~C SI KINH TE NGu'CH Hu'ONG DAN KHOA HQC :;=: ? TS NGUYEN NGQC ANH BQ GIAO CVC VA DAOffl~ TE TP.Hcn ph6H6 Chi Minh- Thang 10-2005 THu·vr¢N IRU'ONG DH KINH ~( ~ Ml)C Ll)C * * * -Tr Trang phl,l bla Danh ml,lc cac chu vie't Hlt Danh ffil,lC cac sd d6 va bang 01 , ? ;t ' , , CHUONG 1: TONG QUAN VE THf TRUONG CHUNG KHOAN 1.1 Thi tntong chung khoan 1.1.1 Thi tntong chung khoan 05 05 1.1.1.1 Khai ni~m - d~c di~m cua thi tntong chung khoan 05 1.1.1.2 Vai tro - chuc nang cua thi tntong chung khoan 06 1.1.1.3 Cd ca"u cua thi tntong chung khoan 09 1.1.2 Cac ph~n tham gia tren thi tnl'ong chung khoan 11 1.1.3 Cac nguyen Hie ho~t d()ng cua thi tntong chung khoan 12 1.2 Hang h6a cho thi tru'ong chung khoan 13 1.2.1 Chung khoan nq 15 1.2.2 Chung khoan vo'n 17 1.2.3 Cac cong Cl,l d§:n xua"t 20 1.3 Kinh nghi~m phat tri~n cua m()t so' thi tru'ong chung khoan tren the' gioi 1.3.1 Thi tru'ong chung khoan Trung Quo'c 21 1.3.2 Thi tru'ong chung khoan Thai Lan 22 1.3.3 Thi tru'ong chung khoan Han Quo'c 23 1.4 Ke't lu~n chu'dng I 24 CHUONG II: TIIljC TR~NG CUA THl TRUONG CHUNG KHOA.N VItT NAM 2.1 Slf hlnh va phat tri~n cua thi tnl'ong chung khoan Vi~u tli nlioc ngoai • Cty CP : Cong ty c6 ph~n • Cty CK : Cong ty chung khoan • KLGD : Kho"i llit so' giai phap sau xin dung cua cac cong ty chung khoan, ho~t d(>ng tl,l' doanh, tu va'n d~u tu (ca'm hanh vi loi keo, lua dao, ca'm hanh vi giao dich thai qua: th6i ph6ng, tung tin tha't thic$t, khua'y d(>ng) Nha nuoc c~n hoan thic$n he$ tho'ng dao t~o chu~n mlfc va ca'p phep hanh ngh~ cho cac cong ty chung khoan (d~c bic$t linh vlfc tu va'n), d~n d~n nang cao nh~n thuc CUa cong Chung do'i VOi cac dich Vl;l CUa cong ty chung khoan mang l~i Cac cong ty chling khoan phai da d~ng h6a cac ho~t d(>ng cua mlnh, phat tri€n hlnh thuc tl,l' doanh, hlnh thuc tu va'n d~u tu Mu6n v~y cac cong ty chung khoan phai xay dlfng cho mlnh m(>t d(>i ngu nhan vien gioi, nang d(>ng, th~o nghic$p Vl;l Cac cong ty chung khoan cung c~n xay dl,l'ng cac chie'n dich quang ba cho cong ty cua mlnh Cac ngan hang thudng m~i hic$n cung dang dut c~u d~u tu ha'p d~n cua cac nha d~u tu Ngoai vic$c thuc d~y vic$c niem ye't c6 phie'u cua cac ngan hang thudng m~i c6 ph~n, cung c~n md r(>ng ho~t d(>ng cho vay cua cac ngan hang thudng m~i thong qua vic$c c~m co', the' cha'p cac c6 phie'u, trai phie'u cua cac Trang: 73/74 cong ty niem ye't, di€u se tc,lO tfnh khmln cho cac chung khoan tren TTGDCK 3.3 K@'t lu~n chu'dng III Vil$c d€ va thl;fc hil$n cac giiii phap tich clfc nh~m tang cung hang h6a cho TTCK Vi6 H()p Ha N£ng 15.872.800 GIL Cong ty CP SX-KD-XNK Blnh Thao Le Minh (2002), Gido tr1nh nhflng vdn d€ ca ban v€ chang khodn va tht truong chang khodn, Nxb Chinh Tq Qu6c Gia Chang khodn va thi truimg chr:tng khodn, Nxb Tho'ng ke TP HCM 2001 Toan canh thi truong chr:tng khodn, Nxb TP HCM 1999 10 Cdc van ban phdp luqt v€ chr:tng khodn va tht truimg chr:tng khodn, van ban moi nha't, Nxb Chinh tq qu6c gia 1998 11 Gido tr1nh thi truimg chr:tng khodn, Nxb Giao d1;1c, 1998 12 Tht truong chr:tng khodn- td chac va hoc;zt dqng, Nxb Tre 1996 13.Nguy~n Van Lu~n, Trftn Qu6c Tua'n, Ngo Minh Chau (1996), Tht truong chr:tng khodn iJ Vi~t Nam, Nxb Tho'ng ke Trang: 2/2 14 Chang khofm va thi tnt?Jng chang khodn: kinh nghi?m cua cdc nuac tren thf gMi, Nxb Vi~n khoa hQc Uti chlnh - BQ Tai Chinh 15.PGS PTS LeVan Tu' (2001), Hiiu vasa df!,ng tht tru?Jng chang khodn, Nxb Th6ng ke 16.Huy Nam (1999), Tht tru?Jng chang khodn: nhitng tifp c(in c&n thift di tham gia, Nxb Tre TP H6 Chi Minh 17 Tr;zp chf chang khodn- cac so' nam 2002, 2003, 2005 18 Tr;zp chf phdt triin kinh tf- cac so' nam 2003, 2004, 2005 19 Tr;zp chf Ddu tuchang khodn- cac so' nam 2003,2005 20 Tr;zp chf tai chfnh- cac so' nam 2004, 2005 21 Tai li~u H