Baùo Caùo Thường Niên ANNUAL REPORT2013 BÁO CÁO ANNUAL THƯỜNG NIÊN 2013 REPORT2013
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Baùo caùo thường niên ANNUAL REPORT2013 BÁO CÁO ANNUAL THƯỜNG NIÊN 2013 REPORT2013 MUÏC LUÏC CONTENTS Lôøi töïa cuûa Chuû tòch UÛy ban Chöùng khoaùn Nhaø nöôùc ................................................................5 Ban Laõnh ñaïo UÛy ban Chöùng khoaùn Nhaø nöôùc ............................................................................6 Foreword by the SSC’s Chairman ..................................................................................................57 Sô ñoà toå chöùc cuûa UÛy ban Chöùng khoaùn Nhaø nöôùc ......................................................................7 Leaders of the SSC ............................................................................................................................58 Chöùc naêng, nhieäm vuï cuûa caùc ñôn vò thuoäc UÛy ban Chöùng khoaùn Nhaø nöôùc ..........................10 The SSC’s organization structure ..................................................................................................60 PHAÀN MOÄT: ......................................................................................................................................16 Functions and duties of the SSC’s departments .........................................................................62 TOÅNG QUAN KINH TEÁ - TAØI CHÍNH THEÁ GIÔÙI VAØ VIEÄT NAM NAÊM 2013 ....................16 PART ONE: ........................................................................................................................................67 Ñaùnh giaù chung veà kinh teá theá giôùi naêm 2013. .............................................................................17 FINANCIAL AND ECONOMIC REVIEW IN 2013 .....................................................................67 Giaù haøng hoùa cô baûn .........................................................................................................................18 The Global Economy in 2013 ..........................................................................................................68 Doøng voán quoác teá vaø thò tröôøng chöùng khoaùn theá giôùi. ...............................................................18 Commodities Price. ...........................................................................................................................69 Kinh teá Vieät Nam 2013. ....................................................................................................................19 International Capital Flows and Global Securities Markets. ..................................................69 PHAÀN HAI: ........................................................................................................................................21 Vietnam’s Economy in 2013. ...........................................................................................................70 THÒ TRÖÔØNG CHÖÙNG KHOAÙN VIEÄT NAM NAÊM 2013 ..........................................................21 PART TWO: .......................................................................................................................................72 Toång quan thò tröôøng chöùng khoanù Vieät nam naêm 2013............................................................22 VIETNAM’S SECURITIES MARKET IN 2013 ...........................................................................72 Thò tröôøng coå phieáu ..........................................................................................................................25 Overview of Vietnam’s Securities Market in 2013 .....................................................................73 Thò tröôøng traùi phieáu. ......................................................................................................................28 The Stock Market .............................................................................................................................75 Hoaït ñoäng ñaêng kyù, löu kyù vaø thanh toaùn buø trö ø.......................................................................31 The Bond Market ..............................................................................................................................78 Hoaït ñoäng cuûa caùc toå chöùc kinh doanh chöùng khoaùn .................................................................34 Securities Registration, Depository, Clearing and Settlement ..................................................81 Hoaït ñoäng cuûa caùc toå chöùc nieâm yeát ..............................................................................................36 Securities Business Organization Activities ................................................................................82 PHAÀN BA: ..........................................................................................................................................38 The Issuers’ Activities .....................................................................................................................83 COÂNG TAÙC QUAÛN LYÙ, PART THREE: ..................................................................................................................................85 GIAÙM SAÙT VAØ TAÙI CAÁU TRUÙC THÒ TRÖÔØNG CHÖÙNG KHOAÙN .........................................38 REGULATING, SUPERVISINGAND RESTRUCTURING THE SECURITIES MARKET .85 Coâng taùc hoaøn thieän khung phaùp lyù vaø cô cheá, chính saùch. .......................................................39 Improvement of Legal Framework, Mechanisms and Policies .................................................86 Coâng taùc taùi caáu truùc thò tröôøng chöùng khoaùn. ............................................................................40 Securities Market Restructuring ....................................................................................................86 Thanh tra, giaùm saùt vaø cöôõng cheá thöïc thi ...................................................................................43 Inspection, Supervising and Enforcement ....................................................................................89 Coâng taùc quaûn lyù, giaùm saùt coâng ty ñaïi chuùng, Regulation and supervision of public companies, listed companies and coâng ty nieâm yeát vaø thamå ñònh kieåm toaùn chaáp thuaän ..............................................................44 approved auditors ............................................................................................................................89 Hoaït ñoäng cuûa caùc SGDCK, TTLKCK ............................................................................................44 The Stock Exchanges and Securities Depository ........................................................................90 Hôïp taùc quoác teá trong lónh vöïc chöùng khoaùn ...............................................................................45 International Cooperation ...............................................................................................................90 Phaùt trieån heä thoáng coâng ngheä thoâng tin, nghieân cöùu khoa hoïc, ñaøo taïo, tuyeân truyeàn .......46 IT Development .................................................................................................................................90 Hoaït ñoäng xaõ hoäi, coäng ñoàng vaø ñoaøn theå .....................................................................................47 Scientific Research, Training and Dissemination .......................................................................91 PHAÀN BOÁN: .......................................................................................................................................48 Social and Community Activities ...................................................................................................91 TRIEÅN VOÏNG KINH TEÁ - PART FOUR: .....................................................................................................................................92 TAØI CHÍNH VAØ GIAÛI PHAÙP PHAÙT TRIEÅN TTCK VIEÄT NAM NAÊM 2014 ........................48 ECONOMIC AND FINANCIAL OUTLOOK - SOLUTIONS FOR SECURITIES MARKET Trieån voïng kinh teá theá giôùi 2014 ....................................................................................................49 DEVELOPMENT IN 2014 ...............................................................................................................92 Trieån voïng kinh teá Vieät Nam 2014 ................................................................................................50 The World Economic Outlook .........................................................................................................93 Muïc tieâu phaùt trieån TTCK Vieät Nam naêm 2014 ..........................................................................51 Vietnam’s Economic Outlook in 2014 ...........................................................................................94 Caùc giaûi phaùp phaùt trieån TTCK Vieät Nam naêm 2014 .................................................................51 Development Goals in Vietnam’s Securities Market in 2014 ....................................................94 Solutions for the Development of Vietnam Securities Market in 2014 ...............................94 |2| |3| BÁO CÁO ANNUAL THƯỜNG NIÊN 2013 REPORT2013 LÔIØ TÖAÏ CUAÛ CHU Û TÒCH UY Û BAN CHÖNGÙ KHOANÙ NHA Ø NÖÔCÙ Naêm 2013, kinh teá toaøn caàu ñaõ coù caûi thieän nhöng caùc giaûi phaùp ñoái vôùi thò tröôøng chöùng khoaùn trong toác ñoä phuïc hoài chaäm; trong nöôùc, toác ñoä taêng naêm 2013, thò tröôøng chöùng khoaùn Vieät Nam ñaõ ñaït tröôûng