{"id":29513,"date":"2025-06-03T19:00:46","date_gmt":"2025-06-03T12:00:46","guid":{"rendered":"https:\/\/www.fiahub.com\/blog\/?p=29513"},"modified":"2025-07-04T17:27:38","modified_gmt":"2025-07-04T10:27:38","slug":"insider-trading-la-gi","status":"publish","type":"post","link":"https:\/\/www.fiahub.com\/blog\/insider-trading-la-gi\/","title":{"rendered":"Giao d\u1ecbch n\u1ed9i gi\u00e1n (Insider Trading) l\u00e0 g\u00ec?"},"content":{"rendered":"<div id=\"ez-toc-container\" class=\"ez-toc-v2_0_79_2 counter-hierarchy ez-toc-counter ez-toc-grey ez-toc-container-direction\">\n<div class=\"ez-toc-title-container\"><p class=\"ez-toc-title\" style=\"cursor:inherit\">N\u1ed9i dung b\u00e0i vi\u1ebft<\/p>\n<\/div><nav><ul class='ez-toc-list ez-toc-list-level-1 ' ><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-1\" href=\"https:\/\/www.fiahub.com\/blog\/insider-trading-la-gi\/#Cac_loai_hinh_Insider\" >C\u00e1c lo\u1ea1i h\u00ecnh Insider<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-2\" href=\"https:\/\/www.fiahub.com\/blog\/insider-trading-la-gi\/#Cac_loai_Insider_Trading\" >C\u00e1c lo\u1ea1i Insider Trading<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-3\" href=\"https:\/\/www.fiahub.com\/blog\/insider-trading-la-gi\/#Vi_du_ve_giao_dich_noi_gian\" >V\u00ed d\u1ee5 v\u1ec1 giao d\u1ecbch n\u1ed9i gi\u00e1n<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-4\" href=\"https:\/\/www.fiahub.com\/blog\/insider-trading-la-gi\/#Chuong_trinh_Nguoi_to_giac_cua_SEC_SEC_Whistleblower_Program\" >Ch\u01b0\u01a1ng tr\u00ecnh Ng\u01b0\u1eddi t\u1ed1 gi\u00e1c c\u1ee7a SEC (SEC Whistleblower Program)<\/a><ul class='ez-toc-list-level-3' ><li class='ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-5\" href=\"https:\/\/www.fiahub.com\/blog\/insider-trading-la-gi\/#Giai_thuong_cho_Bao_cao_Giao_dich_noi_gian\" >Gi\u1ea3i th\u01b0\u1edfng cho B\u00e1o c\u00e1o Giao d\u1ecbch n\u1ed9i gi\u00e1n<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-6\" href=\"https:\/\/www.fiahub.com\/blog\/insider-trading-la-gi\/#Cac_dieu_khoan_chong_tra_thu\" >C\u00e1c \u0111i\u1ec1u kho\u1ea3n ch\u1ed1ng tr\u1ea3 th\u00f9<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-7\" href=\"https:\/\/www.fiahub.com\/blog\/insider-trading-la-gi\/#Nhung_can_nhac_quan_trong\" >Nh\u1eefng c\u00e2n nh\u1eafc quan tr\u1ecdng<\/a><\/li><\/ul><\/li><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-8\" href=\"https:\/\/www.fiahub.com\/blog\/insider-trading-la-gi\/#Cac_buoc_de_nhan_duoc_giai_thuong_cho_viec_bao_cao_giao_dich_noi_gian\" >C\u00e1c b\u01b0\u1edbc \u0111\u1ec3 nh\u1eadn \u0111\u01b0\u1ee3c gi\u1ea3i th\u01b0\u1edfng cho vi\u1ec7c b\u00e1o c\u00e1o giao d\u1ecbch n\u1ed9i gi\u00e1n<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-9\" href=\"https:\/\/www.fiahub.com\/blog\/insider-trading-la-gi\/#Hinh_phat_cho_giao_dich_noi_gian\" >H\u00ecnh ph\u1ea1t cho giao d\u1ecbch n\u1ed9i gi\u00e1n<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-2'><a class=\"ez-toc-link ez-toc-heading-10\" href=\"https:\/\/www.fiahub.com\/blog\/insider-trading-la-gi\/#Vi_du_noi_tieng_ve_giao_dich_noi_gian\" >V\u00ed d\u1ee5 n\u1ed5i ti\u1ebfng v\u1ec1 giao d\u1ecbch n\u1ed9i gi\u00e1n<\/a><ul class='ez-toc-list-level-3' ><li class='ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-11\" href=\"https:\/\/www.fiahub.com\/blog\/insider-trading-la-gi\/#Ishan_Wahi_2024\" >Ishan Wahi (2024)<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-12\" href=\"https:\/\/www.fiahub.com\/blog\/insider-trading-la-gi\/#Matthew_Panuwat_2024\" >Matthew Panuwat (2024)<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-13\" href=\"https:\/\/www.fiahub.com\/blog\/insider-trading-la-gi\/#Terren_S_Peizer_2023\" >Terren S. Peizer (2023)<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-14\" href=\"https:\/\/www.fiahub.com\/blog\/insider-trading-la-gi\/#Raj_Rajaratnam_2011\" >Raj Rajaratnam (2011)<\/a><\/li><li class='ez-toc-page-1 ez-toc-heading-level-3'><a class=\"ez-toc-link ez-toc-heading-15\" href=\"https:\/\/www.fiahub.com\/blog\/insider-trading-la-gi\/#SEC_buoc_toi_14_nguoi_trong_Duong_day_giao_dich_noi_gian_Pho_Wall_2007\" >SEC bu\u1ed9c t\u1ed9i 14 ng\u01b0\u1eddi trong \u0110\u01b0\u1eddng d\u00e2y giao d\u1ecbch n\u1ed9i gi\u00e1n Ph\u1ed1 Wall (2007)<\/a><\/li><\/ul><\/li><\/ul><\/nav><\/div>\n<h2><span class=\"ez-toc-section\" id=\"Cac_loai_hinh_Insider\"><\/span><span style=\"font-weight: 400\">C\u00e1c lo\u1ea1i h\u00ecnh Insider<\/span><span class=\"ez-toc-section-end\"><\/span><\/h2>\n<p><span style=\"font-weight: 400\">Trong khi \u0111\u1ed1i v\u1edbi m\u1ed9t s\u1ed1 m\u1ee5c \u0111\u00edch nh\u1ea5t \u0111\u1ecbnh, <a href=\"https:\/\/www.fiahub.com\/blog\/tag\/sec-hoa-ky\/\">SEC<\/a> \u0111\u1ecbnh ngh\u0129a Insider l\u00e0 m\u1ed9t vi\u00ean ch\u1ee9c, gi\u00e1m \u0111\u1ed1c ho\u1eb7c c\u1ed5 \u0111\u00f4ng n\u1eafm gi\u1eef 10% c\u1ed5 ph\u1ea7n, ho\u1eb7c b\u1ea5t k\u1ef3 ai c\u00f3 th\u00f4ng tin n\u1ed9i b\u1ed9 do m\u1ed1i quan h\u1ec7 c\u1ee7a h\u1ecd v\u1edbi c\u00f4ng ty ho\u1eb7c v\u1edbi m\u1ed9t vi\u00ean ch\u1ee9c, gi\u00e1m \u0111\u1ed1c ho\u1eb7c c\u1ed5 \u0111\u00f4ng ch\u00ednh c\u1ee7a c\u00f4ng ty, ng\u01b0\u1eddi trong cu\u1ed9c c\u0169ng c\u00f3 th\u1ec3 bao g\u1ed3m lu\u1eadt s\u01b0, c\u1ed1 v\u1ea5n ho\u1eb7c nh\u1eefng ng\u01b0\u1eddi kh\u00e1c t\u01b0\u01a1ng t\u00e1c v\u1edbi c\u00f4ng ty. V\u1ec1 c\u01a1 b\u1ea3n, b\u1ea5t k\u1ef3 ai c\u00f3 th\u1ec3 s\u1edf h\u1eefu MNPI d\u1ef1a tr\u00ean m\u1ed1i quan h\u1ec7 c\u1ee7a h\u1ecd v\u1edbi c\u00f4ng ty.<\/span><\/p>\n<h2><span class=\"ez-toc-section\" id=\"Cac_loai_Insider_Trading\"><\/span><span style=\"font-weight: 400\">C\u00e1c lo\u1ea1i Insider Trading<\/span><span class=\"ez-toc-section-end\"><\/span><\/h2>\n<p><span style=\"font-weight: 400\">C\u00f3 nhi\u1ec1u h\u00ecnh th\u1ee9c giao d\u1ecbch n\u1ed9i gi\u00e1n kh\u00e1c nhau, t\u1ea5t c\u1ea3 \u0111\u1ec1u bao g\u1ed3m vi\u1ec7c s\u1eed d\u1ee5ng sai MNPI thu \u0111\u01b0\u1ee3c do vi ph\u1ea1m ngh\u0129a v\u1ee5 \u0111\u1ed1i v\u1edbi c\u00f4ng ty. D\u01b0\u1edbi \u0111\u00e2y l\u00e0 m\u1ed9t s\u1ed1 v\u00ed d\u1ee5 v\u1ec1 c\u00e1c lo\u1ea1i giao d\u1ecbch n\u1ed9i gi\u00e1n:<\/span><\/p>\n<ul>\n<li style=\"font-weight: 400\"><b>Direct Trading:<\/b><span style=\"font-weight: 400\"> \u0111\u00e2y l\u00e0 khi m\u1ed9t ng\u01b0\u1eddi trong cu\u1ed9c nh\u01b0 CEO, CFO ho\u1eb7c th\u00e0nh vi\u00ean h\u1ed9i \u0111\u1ed3ng qu\u1ea3n tr\u1ecb giao d\u1ecbch ch\u1ee9ng kho\u00e1n d\u1ef1a tr\u00ean MNPI m\u00e0 h\u1ecd c\u00f3 \u0111\u01b0\u1ee3c do v\u1ecb tr\u00ed c\u1ee7a h\u1ecd t\u1ea1i c\u00f4ng ty.<\/span><\/li>\n<li style=\"font-weight: 400\"><b>Tipping:<\/b><span style=\"font-weight: 400\"> \u0111\u00e2y l\u00e0 khi m\u1ed9t ng\u01b0\u1eddi trong cu\u1ed9c chia s\u1ebb th\u00f4ng tin b\u00ed m\u1eadt v\u1edbi m\u1ed9t c\u00e1 nh\u00e2n kh\u00e1c, sau \u0111\u00f3 ng\u01b0\u1eddi n\u00e0y giao d\u1ecbch d\u1ef1a tr\u00ean th\u00f4ng tin \u0111\u00f3.<\/span><\/li>\n<li style=\"font-weight: 400\"><b>Chi\u1ebfm \u0111o\u1ea1t:<\/b><span style=\"font-weight: 400\"> \u0111i\u1ec1u n\u00e0y x\u1ea3y ra khi m\u1ed9t c\u00e1 nh\u00e2n giao d\u1ecbch d\u1ef1a tr\u00ean th\u00f4ng tin m\u00e0 h\u1ecd bi\u1ebft l\u00e0 b\u1ecb \u0111\u00e1nh c\u1eafp ho\u1eb7c c\u00f3 \u0111\u01b0\u1ee3c m\u1ed9t c\u00e1ch b\u1ea5t h\u1ee3p ph\u00e1p, b\u1ea5t k\u1ec3 m\u1ed1i quan h\u1ec7 c\u1ee7a ng\u01b0\u1eddi giao d\u1ecbch v\u1edbi c\u00f4ng ty.<\/span><\/li>\n<\/ul>\n<p><span style=\"font-weight: 400\">SEC c\u0169ng \u0111\u00e3 theo \u0111u\u1ed5i c\u00e1c h\u00ecnh th\u1ee9c giao d\u1ecbch n\u1ed9i gi\u00e1n kh\u00e1c, ch\u1eb3ng h\u1ea1n nh\u01b0 giao d\u1ecbch trong th\u1eddi gian b\u1ecb c\u1ea5m (t\u1ee9c l\u00e0 tr\u01b0\u1edbc khi s\u00e1p nh\u1eadp ho\u1eb7c c\u00f4ng b\u1ed1 thu nh\u1eadp), s\u1eed d\u1ee5ng sai c\u00e1i g\u1ecdi l\u00e0 k\u1ebf ho\u1ea1ch 10b5-1 v\u00e0 giao d\u1ecbch c\u1ee7a c\u00e1c gi\u00e1m \u0111\u1ed1c \u0111i\u1ec1u h\u00e0nh c\u00f4ng ty \u0111\u1ed1i v\u1edbi ch\u1ee9ng kho\u00e1n c\u1ee7a c\u00e1c \u0111\u1ed1i th\u1ee7 c\u1ea1nh tranh c\u1ee7a c\u00f4ng ty \u0111\u00f3 d\u1ef1a tr\u00ean t\u00e1c \u0111\u1ed9ng d\u1ef1 ki\u1ebfn \u200b\u200bc\u1ee7a c\u00e1c h\u00e0nh \u0111\u1ed9ng s\u1eafp t\u1edbi c\u1ee7a c\u00f4ng ty tr\u00ean th\u1ecb tr\u01b0\u1eddng.<\/span><\/p>\n<figure id=\"attachment_29515\" aria-describedby=\"caption-attachment-29515\" style=\"width: 900px\" class=\"wp-caption aligncenter\"><img fetchpriority=\"high\" decoding=\"async\" class=\"wp-image-29515\" src=\"https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-4.jpg\" alt=\"Insider Trading\" width=\"900\" height=\"532\" srcset=\"https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-4.jpg 829w, https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-4-300x177.jpg 300w, https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-4-150x89.jpg 150w, https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-4-768x454.jpg 768w, https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-4-450x266.jpg 450w\" sizes=\"(max-width: 900px) 100vw, 900px\" \/><figcaption id=\"caption-attachment-29515\" class=\"wp-caption-text\">SEC cam k\u1ebft tr\u1ea5n \u00e1p giao d\u1ecbch n\u1ed9i gi\u00e1n v\u00e0 \u0111\u1ea3m b\u1ea3o r\u1eb1ng nh\u1eefng ng\u01b0\u1eddi tham gia th\u1ecb tr\u01b0\u1eddng c\u1ea1nh tranh c\u00f4ng b\u1eb1ng.<\/figcaption><\/figure>\n<h2><span class=\"ez-toc-section\" id=\"Vi_du_ve_giao_dich_noi_gian\"><\/span><span style=\"font-weight: 400\">V\u00ed d\u1ee5 v\u1ec1 giao d\u1ecbch n\u1ed9i gi\u00e1n<\/span><span class=\"ez-toc-section-end\"><\/span><\/h2>\n<p><span style=\"font-weight: 400\">CEO c\u1ee7a m\u1ed9t c\u00f4ng ty bi\u1ebft r\u1eb1ng c\u00f4ng ty s\u1eafp c\u00f4ng b\u1ed1 m\u1ed9t s\u1ea3n ph\u1ea9m m\u1edbi quan tr\u1ecdng s\u1ebd l\u00e0m t\u0103ng \u0111\u00e1ng k\u1ec3 gi\u00e1 c\u1ed5 phi\u1ebfu c\u1ee7a c\u00f4ng ty. Tr\u01b0\u1edbc khi th\u00f4ng b\u00e1o \u0111\u01b0\u1ee3c c\u00f4ng khai, CEO \u0111\u00e3 mua c\u1ed5 phi\u1ebfu c\u1ee7a c\u00f4ng ty. \u0110\u00e2y l\u00e0 giao d\u1ecbch n\u1ed9i gi\u00e1n b\u1ea5t h\u1ee3p ph\u00e1p v\u00ec CEO \u0111\u00e3 s\u1eed d\u1ee5ng th\u00f4ng tin kh\u00f4ng c\u00f4ng khai \u0111\u1ec3 \u0111\u1ea1t \u0111\u01b0\u1ee3c l\u1ee3i th\u1ebf kh\u00f4ng c\u00f4ng b\u1eb1ng tr\u00ean th\u1ecb tr\u01b0\u1eddng d\u1ef1a tr\u00ean th\u00f4ng tin quan tr\u1ecdng, kh\u00f4ng c\u00f4ng khai c\u1ee7a m\u00ecnh v\u1ec1 vi\u1ec7c ra m\u1eaft s\u1ea3n ph\u1ea9m s\u1eafp t\u1edbi. Giao d\u1ecbch n\u00e0y s\u1ebd kh\u00f4ng b\u1ecb coi l\u00e0 b\u1ea5t h\u1ee3p ph\u00e1p n\u1ebfu anh ta ch\u1ec9 \u0111\u1ee3i cho \u0111\u1ebfn khi th\u00f4ng tin \u0111\u01b0\u1ee3c c\u00f4ng khai.<\/span><\/p>\n<h2><span class=\"ez-toc-section\" id=\"Chuong_trinh_Nguoi_to_giac_cua_SEC_SEC_Whistleblower_Program\"><\/span><span style=\"font-weight: 400\">Ch\u01b0\u01a1ng tr\u00ecnh Ng\u01b0\u1eddi t\u1ed1 gi\u00e1c c\u1ee7a SEC (SEC Whistleblower Program)<\/span><span class=\"ez-toc-section-end\"><\/span><\/h2>\n<p><span style=\"font-weight: 400\">SEC cam k\u1ebft tr\u1ea5n \u00e1p giao d\u1ecbch n\u1ed9i gi\u00e1n v\u00e0 \u0111\u1ea3m b\u1ea3o r\u1eb1ng nh\u1eefng ng\u01b0\u1eddi tham gia th\u1ecb tr\u01b0\u1eddng c\u1ea1nh tranh c\u00f4ng b\u1eb1ng. Giao d\u1ecbch n\u1ed9i gi\u00e1n ph\u1ea3i ch\u1ecbu c\u00e1c h\u00ecnh ph\u1ea1t d\u00e2n s\u1ef1 t\u1eeb SEC v\u1edbi s\u1ed1 ti\u1ec1n l\u00ean t\u1edbi g\u1ea5p ba l\u1ea7n l\u1ee3i nhu\u1eadn giao d\u1ecbch v\u00e0 th\u1eadm ch\u00ed c\u00f3 th\u1ec3 b\u1ecb truy t\u1ed1 h\u00ecnh s\u1ef1, c\u00f3 th\u1ec3 b\u1ecb ph\u1ea1t t\u00f9 l\u00ean t\u1edbi 20 n\u0103m v\u00e0 ti\u1ec1n ph\u1ea1t h\u00ecnh s\u1ef1.<\/span><\/p>\n<p><span style=\"font-weight: 400\">\u0110\u01b0\u1ee3c Qu\u1ed1c h\u1ed9i th\u00e0nh l\u1eadp v\u00e0o ng\u00e0y 21 th\u00e1ng 7 n\u0103m 2010, theo M\u1ee5c 922 c\u1ee7a \u0110\u1ea1o lu\u1eadt Dodd-Frank, <\/span><b>SEC Whistleblower Program<\/b><span style=\"font-weight: 400\"> khuy\u1ebfn kh\u00edch nh\u1eefng ng\u01b0\u1eddi t\u1ed1 gi\u00e1c b\u00e1o c\u00e1o \u1ea9n danh th\u00f4ng tin c\u1ee5 th\u1ec3, \u0111\u00e1ng tin c\u1eady v\u00e0 k\u1ecbp th\u1eddi v\u1ec1 c\u00e1c lu\u1eadt ch\u1ee9ng kho\u00e1n li\u00ean bang ti\u1ec1m n\u0103ng, ch\u1eb3ng h\u1ea1n nh\u01b0 giao d\u1ecbch n\u1ed9i gi\u00e1n.<\/span><\/p>\n<p><span style=\"font-weight: 400\">T\u00ednh \u0111\u1ebfn cu\u1ed1i n\u0103m t\u00e0i ch\u00ednh 2024, t\u1ed5ng c\u1ed9ng g\u1ea7n 2,2 t\u1ef7 \u0111\u00f4 la \u0111\u00e3 \u0111\u01b0\u1ee3c trao cho g\u1ea7n 444 ng\u01b0\u1eddi t\u1ed1 gi\u00e1c th\u00f4ng qua <\/span><b>SEC Whistleblower Program<\/b><span style=\"font-weight: 400\">. Con s\u1ed1 n\u00e0y l\u00e0m n\u1ed5i b\u1eadt s\u1ef1 th\u00e0nh c\u00f4ng c\u1ee7a ch\u01b0\u01a1ng tr\u00ecnh k\u1ec3 t\u1eeb khi th\u00e0nh l\u1eadp.<\/span><\/p>\n<h3><span class=\"ez-toc-section\" id=\"Giai_thuong_cho_Bao_cao_Giao_dich_noi_gian\"><\/span><span style=\"font-weight: 400\">Gi\u1ea3i th\u01b0\u1edfng cho B\u00e1o c\u00e1o Giao d\u1ecbch n\u1ed9i gi\u00e1n<\/span><span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p><span style=\"font-weight: 400\">C\u00e1c \u01b0u \u0111\u00e3i d\u00e0nh cho ng\u01b0\u1eddi t\u1ed1 gi\u00e1c bao g\u1ed3m c\u00e1c gi\u1ea3i th\u01b0\u1edfng b\u1eb1ng ti\u1ec1n \u0111\u01b0\u1ee3c tr\u1ea3 cho nh\u1eefng ng\u01b0\u1eddi cung c\u1ea5p th\u00f4ng tin g\u1ed1c ch\u1ea5t l\u01b0\u1ee3ng cao d\u1eabn \u0111\u1ebfn h\u00e0nh \u0111\u1ed9ng th\u1ef1c thi th\u00e0nh c\u00f4ng. Gi\u1ea3i th\u01b0\u1edfng cho ng\u01b0\u1eddi t\u1ed1 gi\u00e1c dao \u0111\u1ed9ng t\u1eeb 10% \u0111\u1ebfn 30% s\u1ed1 ti\u1ec1n thu \u0111\u01b0\u1ee3c khi l\u1ec7nh tr\u1eebng ph\u1ea1t tr\u00ean 1 tri\u1ec7u \u0111\u00f4 la \u0111\u01b0\u1ee3c ban h\u00e0nh.<\/span><\/p>\n<p><span style=\"font-weight: 400\">S\u1ed1 ti\u1ec1n ph\u1ea7n tr\u0103m gi\u1ea3i th\u01b0\u1edfng thay \u0111\u1ed5i t\u00f9y thu\u1ed9c v\u00e0o \u0111\u00e1nh gi\u00e1 c\u1ee7a m\u1ed9t s\u1ed1 y\u1ebfu t\u1ed1 t\u00edch c\u1ef1c v\u00e0 ti\u00eau c\u1ef1c, ch\u1eb3ng h\u1ea1n nh\u01b0 t\u1ea7m quan tr\u1ecdng c\u1ee7a th\u00f4ng tin, s\u1ef1 tham gia c\u1ee7a ng\u01b0\u1eddi t\u1ed1 gi\u00e1c v\u00e0o ho\u1ea1t \u0111\u1ed9ng giao d\u1ecbch n\u1ed9i gi\u00e1n \u0111ang \u0111\u01b0\u1ee3c \u0111\u1ec1 c\u1eadp v\u00e0 m\u1ee9c \u0111\u1ed9 h\u1ed7 tr\u1ee3 \u0111\u01b0\u1ee3c cung c\u1ea5p cho \u1ee6y ban, trong s\u1ed1 c\u00e1c y\u1ebfu t\u1ed1 kh\u00e1c.<\/span><\/p>\n<p><span style=\"font-weight: 400\"><a href=\"https:\/\/www.fiahub.com\/blog\/tag\/sec-hoa-ky\/\">SEC<\/a> s\u1ebd \u0111\u0103ng c\u00e1c c\u01a1 h\u1ed9i \u0111\u1ec3 ng\u01b0\u1eddi t\u1ed1 gi\u00e1c n\u1ed9p \u0111\u01a1n xin gi\u1ea3i th\u01b0\u1edfng tr\u00ean trang web c\u1ee7a h\u1ecd l\u00e0 Th\u00f4ng b\u00e1o v\u1ec1 H\u00e0nh \u0111\u1ed9ng \u0111\u01b0\u1ee3c b\u1ea3o v\u1ec7. SEC \u0111\u00e3 n\u00eau r\u00f5 r\u1eb1ng ng\u01b0\u1eddi t\u1ed1 gi\u00e1c c\u00f3 tr\u00e1ch nhi\u1ec7m n\u1ed9p \u0111\u01a1n xin gi\u1ea3i th\u01b0\u1edfng tr\u01b0\u1edbc th\u1eddi h\u1ea1n c\u1ee9ng c\u1ee7a h\u1ecd. \u0110i\u1ec1u quan tr\u1ecdng c\u1ea7n l\u01b0u \u00fd l\u00e0 n\u1ebfu b\u1ea1n ch\u1ecdn n\u1ed9p \u0111\u01a1n t\u1ed1 gi\u00e1c \u1ea9n danh, \u0111\u1ec3 \u0111\u1ee7 \u0111i\u1ec1u ki\u1ec7n nh\u1eadn gi\u1ea3i th\u01b0\u1edfng, b\u1ea1n ph\u1ea3i c\u00f3 lu\u1eadt s\u01b0 \u0111\u1ea1i di\u1ec7n cho b\u1ea1n li\u00ean quan \u0111\u1ebfn \u0111\u01a1n c\u1ee7a m\u00ecnh.<\/span><\/p>\n<figure id=\"attachment_29516\" aria-describedby=\"caption-attachment-29516\" style=\"width: 900px\" class=\"wp-caption aligncenter\"><img decoding=\"async\" class=\"wp-image-29516\" src=\"https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-5.jpg\" alt=\"Insider Trading\" width=\"900\" height=\"600\" srcset=\"https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-5.jpg 1500w, https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-5-300x200.jpg 300w, https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-5-1024x683.jpg 1024w, https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-5-150x100.jpg 150w, https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-5-768x512.jpg 768w, https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-5-450x300.jpg 450w, https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-5-1200x800.jpg 1200w\" sizes=\"(max-width: 900px) 100vw, 900px\" \/><figcaption id=\"caption-attachment-29516\" class=\"wp-caption-text\">T\u00ednh \u0111\u1ebfn cu\u1ed1i n\u0103m t\u00e0i ch\u00ednh 2024, t\u1ed5ng c\u1ed9ng g\u1ea7n 2,2 t\u1ef7 \u0111\u00f4 la \u0111\u00e3 \u0111\u01b0\u1ee3c trao cho g\u1ea7n 444 ng\u01b0\u1eddi t\u1ed1 gi\u00e1c th\u00f4ng qua SEC Whistleblower Program. Con s\u1ed1 n\u00e0y l\u00e0m n\u1ed5i b\u1eadt s\u1ef1 th\u00e0nh c\u00f4ng c\u1ee7a ch\u01b0\u01a1ng tr\u00ecnh k\u1ec3 t\u1eeb khi th\u00e0nh l\u1eadp.<\/figcaption><\/figure>\n<h3><span class=\"ez-toc-section\" id=\"Cac_dieu_khoan_chong_tra_thu\"><\/span><span style=\"font-weight: 400\">C\u00e1c \u0111i\u1ec1u kho\u1ea3n ch\u1ed1ng tr\u1ea3 th\u00f9<\/span><span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p><span style=\"font-weight: 400\">Theo \u0110\u1ea1o lu\u1eadt Dodd-Frank, SEC \u0111\u00e3 th\u1ef1c hi\u1ec7n c\u00e1c quy t\u1eafc cho ph\u00e9p SEC th\u1ef1c hi\u1ec7n h\u00e0nh \u0111\u1ed9ng ph\u00e1p l\u00fd \u0111\u1ed1i v\u1edbi c\u00e1c ch\u1ee7 lao \u0111\u1ed9ng \u0111\u00e3 tr\u1ea3 th\u00f9 ng\u01b0\u1eddi t\u1ed1 gi\u00e1c v\u00ec tham gia v\u00e0o ho\u1ea1t \u0111\u1ed9ng \u0111\u01b0\u1ee3c b\u1ea3o v\u1ec7 nh\u01b0 t\u1ed1 gi\u00e1c giao d\u1ecbch n\u1ed9i gi\u00e1n. Nh\u1eefng ng\u01b0\u1eddi \u0111\u00e3 b\u1ecb tr\u1ea3 th\u00f9 c\u00f3 th\u1ec3 \u0111\u01b0\u1ee3c tr\u1ea3 l\u01b0\u01a1ng g\u1ea5p \u0111\u00f4i c\u00f9ng v\u1edbi l\u00e3i su\u1ea5t, ph\u1ee5c h\u1ed3i ch\u1ee9c v\u1ee5, ho\u00e0n tr\u1ea3 m\u1ed9t s\u1ed1 chi ph\u00ed ph\u00e1p l\u00fd v\u00e0 ph\u00ed lu\u1eadt s\u01b0, c\u00f9ng c\u00e1c h\u00ecnh th\u1ee9c c\u1ee9u tr\u1ee3 kh\u00e1c.<\/span><\/p>\n<h3><span class=\"ez-toc-section\" id=\"Nhung_can_nhac_quan_trong\"><\/span><span style=\"font-weight: 400\">Nh\u1eefng c\u00e2n nh\u1eafc quan tr\u1ecdng<\/span><span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p><span style=\"font-weight: 400\">B\u1ea1n n\u00ean tham kh\u1ea3o \u00fd ki\u1ebfn \u200b\u200bc\u1ed1 v\u1ea5n ph\u00e1p l\u00fd \u0111\u1ec3 hi\u1ec3u \u0111\u01b0\u1ee3c nh\u1eefng r\u1ee7i ro v\u00e0 l\u1ee3i \u00edch ti\u1ec1m \u1ea9n c\u1ee7a vi\u1ec7c t\u1ed1 gi\u00e1c. H\u00e3y nh\u1edb r\u1eb1ng \u0111\u1ec3 n\u1ed9p \u0111\u01a1n \u1ea9n danh ho\u1eb7c \u0111\u1ee7 \u0111i\u1ec1u ki\u1ec7n nh\u1eadn gi\u1ea3i th\u01b0\u1edfng, b\u1ea1n ph\u1ea3i c\u00f3 lu\u1eadt s\u01b0 \u0111\u1ea1i di\u1ec7n cho b\u1ea1n li\u00ean quan \u0111\u1ebfn vi\u1ec7c n\u1ed9p \u0111\u01a1n.<\/span><\/p>\n<h2><span class=\"ez-toc-section\" id=\"Cac_buoc_de_nhan_duoc_giai_thuong_cho_viec_bao_cao_giao_dich_noi_gian\"><\/span><span style=\"font-weight: 400\">C\u00e1c b\u01b0\u1edbc \u0111\u1ec3 nh\u1eadn \u0111\u01b0\u1ee3c gi\u1ea3i th\u01b0\u1edfng cho vi\u1ec7c b\u00e1o c\u00e1o giao d\u1ecbch n\u1ed9i gi\u00e1n<\/span><span class=\"ez-toc-section-end\"><\/span><\/h2>\n<p><span style=\"font-weight: 400\">Quy tr\u00ecnh b\u00e1o c\u00e1o giao d\u1ecbch n\u1ed9i gi\u00e1n v\u1edbi t\u01b0 c\u00e1ch l\u00e0 ng\u01b0\u1eddi t\u1ed1 gi\u00e1c t\u01b0\u01a1ng \u0111\u1ed1i \u0111\u01a1n gi\u1ea3n. Tuy nhi\u00ean, vi\u1ec7c ch\u1ee9ng minh r\u1eb1ng ai \u0111\u00f3 \u0111\u00e3 th\u1ef1c hi\u1ec7n giao d\u1ecbch b\u1ea5t h\u1ee3p ph\u00e1p d\u1ef1a tr\u00ean th\u00f4ng tin n\u1ed9i gi\u00e1n c\u00f3 th\u1ec3 r\u1ea5t kh\u00f3 kh\u0103n. D\u01b0\u1edbi \u0111\u00e2y l\u00e0 c\u00e1c b\u01b0\u1edbc ch\u00ednh m\u00e0 ng\u01b0\u1eddi t\u1ed1 gi\u00e1c c\u00f3 th\u1ec3 th\u1ef1c hi\u1ec7n \u0111\u1ec3 c\u00f3 h\u00e0nh \u0111\u1ed9ng th\u00e0nh c\u00f4ng ch\u1ed1ng l\u1ea1i k\u1ebb gian l\u1eadn:<\/span><\/p>\n<ul>\n<li style=\"font-weight: 400\"><span style=\"font-weight: 400\"><strong>X\u00e1c nh\u1eadn giao d\u1ecbch n\u1ed9i gi\u00e1n b\u1ea5t h\u1ee3p ph\u00e1p:<\/strong> giao d\u1ecbch n\u1ed9i gi\u00e1n b\u1ea5t h\u1ee3p ph\u00e1p x\u1ea3y ra khi m\u1ed9t c\u00e1 nh\u00e2n giao d\u1ecbch c\u1ed5 phi\u1ebfu ho\u1eb7c ch\u1ee9ng kho\u00e1n d\u1ef1a tr\u00ean th\u00f4ng tin quan tr\u1ecdng, nh\u1ea1y c\u1ea3m v\u1ec1 gi\u00e1 kh\u00f4ng \u0111\u01b0\u1ee3c c\u00f4ng khai, vi ph\u1ea1m ngh\u0129a v\u1ee5 \u0111\u1ed1i v\u1edbi ngu\u1ed3n th\u00f4ng tin, \u0111\u1ec3 ki\u1ebfm l\u1ee3i nhu\u1eadn ho\u1eb7c tr\u00e1nh thua l\u1ed7 ti\u1ec1m \u1ea9n.<\/span><\/li>\n<li style=\"font-weight: 400\"><span style=\"font-weight: 400\"><strong>X\u00e1c \u0111\u1ecbnh t\u01b0 c\u00e1ch:<\/strong> n\u1ebfu ng\u01b0\u1eddi t\u1ed1 gi\u00e1c t\u00ecm ki\u1ebfm ph\u1ea7n th\u01b0\u1edfng, c\u00e1c bi\u1ec7n ph\u00e1p tr\u1eebng ph\u1ea1t b\u1eb1ng ti\u1ec1n m\u00e0 SEC nh\u1eadn \u0111\u01b0\u1ee3c ph\u1ea3i v\u01b0\u1ee3t qu\u00e1 1 tri\u1ec7u \u0111\u00f4 la. M\u1ed9t ho\u1eb7c nhi\u1ec1u ng\u01b0\u1eddi c\u00f3 th\u1ec3 \u0111\u00f3ng vai tr\u00f2 l\u00e0 ng\u01b0\u1eddi t\u1ed1 gi\u00e1c v\u00e0 \u0111\u1ee7 \u0111i\u1ec1u ki\u1ec7n nh\u1eadn ph\u1ea7n th\u01b0\u1edfng, bao g\u1ed3m c\u1ea3 c\u00f4ng d\u00e2n n\u01b0\u1edbc ngo\u00e0i.<\/span><\/li>\n<li style=\"font-weight: 400\"><span style=\"font-weight: 400\"><strong>Thu\u00ea lu\u1eadt s\u01b0 t\u1ed1 gi\u00e1c:<\/strong> m\u1ed9t lu\u1eadt s\u01b0 t\u1ed1 gi\u00e1c hi\u1ec3u bi\u1ebft s\u1ebd gi\u00fap b\u1ea1n n\u1ed9p th\u00f4ng tin \u1ea9n danh v\u00e0 \u0111\u1ea3m b\u1ea3o b\u1ea1n nh\u1eadn \u0111\u01b0\u1ee3c kho\u1ea3n ti\u1ec1n th\u01b0\u1edfng t\u1ed1i \u0111a c\u00f3 th\u1ec3. N\u1ebfu danh t\u00ednh c\u1ee7a b\u1ea1n b\u1ecb ti\u1ebft l\u1ed9, m\u1ed9t lu\u1eadt s\u01b0 t\u1ed1 gi\u00e1c c\u1ee7a SEC s\u1ebd b\u1ea3o v\u1ec7 b\u1ea1n kh\u1ecfi b\u1ecb tr\u1ea3 th\u00f9 b\u1eb1ng c\u00e1ch l\u00e0m vi\u1ec7c v\u1edbi SEC.<\/span><\/li>\n<li style=\"font-weight: 400\"><span style=\"font-weight: 400\"><strong>Thu th\u1eadp b\u1eb1ng ch\u1ee9ng:<\/strong> SEC \u0111ang t\u00ecm ki\u1ebfm nh\u1eefng l\u1eddi khuy\u00ean c\u1ee5 th\u1ec3, \u0111\u00e1ng tin c\u1eady v\u00e0 k\u1ecbp th\u1eddi. L\u1eddi khuy\u00ean c\u00e0ng chi ti\u1ebft th\u00ec kh\u1ea3 n\u0103ng \u0111\u01b0\u1ee3c chuy\u1ec3n ti\u1ebfp v\u00e0 theo \u0111u\u1ed5i b\u1edfi m\u1ed9t \u0111i\u1ec1u tra vi\u00ean c\u00e0ng cao v\u00e0 kh\u1ea3 n\u0103ng nh\u1eadn \u0111\u01b0\u1ee3c gi\u1ea3i th\u01b0\u1edfng c\u00e0ng l\u1edbn. B\u1eb1ng ch\u1ee9ng trong m\u1ed9t v\u1ee5 giao d\u1ecbch n\u1ed9i gi\u00e1n th\u01b0\u1eddng l\u00e0 t\u00ecnh ti\u1ebft, ngh\u0129a l\u00e0 SEC ph\u1ea3i gh\u00e9p c\u00e1c m\u1ed1c th\u1eddi gian l\u1ea1i v\u1edbi nhau \u0111\u1ec3 k\u1ec3 m\u1ed9t c\u00e2u chuy\u1ec7n m\u1ea1ch l\u1ea1c. H\u1ecd ph\u1ea3i tr\u00ecnh b\u00e0y nh\u1eefng ph\u00e1t hi\u1ec7n c\u1ee7a m\u00ecnh \u0111\u1ec3 cho ph\u00e9p nh\u00e2n vi\u00ean th\u1ef1c hi\u1ec7n h\u00e0nh \u0111\u1ed9ng h\u00e0nh ch\u00ednh ho\u1eb7c \u0111\u1ec7 \u0111\u01a1n ki\u1ec7n l\u00ean t\u00f2a \u00e1n li\u00ean bang. Do \u0111\u00f3, \u0111i\u1ec1u quan tr\u1ecdng l\u00e0 ph\u1ea3i s\u1edf h\u1eefu v\u00e0 duy tr\u00ec t\u00e0i li\u1ec7u m\u1ea1nh m\u1ebd.<\/span><\/li>\n<li style=\"font-weight: 400\"><span style=\"font-weight: 400\"><strong>K\u00fd v\u00e0o Bi\u1ec3u m\u1eabu TCR:<\/strong> bi\u1ec3u m\u1eabu TCR (TCR l\u00e0 vi\u1ebft t\u1eaft c\u1ee7a\u00a0 Tips, Complaints, v\u00e0 Referrals) l\u00e0 bi\u1ec3u m\u1eabu m\u00e0 ng\u01b0\u1eddi t\u1ed1 gi\u00e1c \u0111i\u1ec1n v\u00e0o, cung c\u1ea5p cho SEC th\u00f4ng tin c\u00f3 li\u00ean quan v\u1ec1 c\u00e1c h\u00e0nh vi vi ph\u1ea1m \u0111\u01b0\u1ee3c b\u00e1o c\u00e1o.<\/span><\/li>\n<li style=\"font-weight: 400\"><span style=\"font-weight: 400\"><strong>G\u1eedi Bi\u1ec3u m\u1eabu TCR cho Lu\u1eadt s\u01b0:<\/strong> ng\u01b0\u1eddi t\u1ed1 gi\u00e1c c\u00f3 th\u1ec3 thu\u00ea lu\u1eadt s\u01b0 \u0111\u1ea1i di\u1ec7n cho h\u1ecd. Lu\u1eadt s\u01b0 c\u1ee7a ng\u01b0\u1eddi t\u1ed1 gi\u00e1c c\u00f3 th\u1ec3 th\u1ef1c hi\u1ec7n vi\u1ec7c tr\u00ecnh b\u00e0y th\u1ef1c t\u1ebf l\u00ean SEC, \u0111\u1ea3m b\u1ea3o danh t\u00ednh c\u1ee7a ng\u01b0\u1eddi t\u1ed1 gi\u00e1c v\u1eabn \u0111\u01b0\u1ee3c gi\u1eef b\u00ed m\u1eadt.<\/span><\/li>\n<li style=\"font-weight: 400\"><span style=\"font-weight: 400\"><strong>\u0110i\u1ec1u tra:<\/strong> sau khi \u0111\u00e3 tr\u00ecnh b\u00e0y l\u00ean SEC, ng\u01b0\u1eddi t\u1ed1 gi\u00e1c c\u00f3 th\u1ec3 duy tr\u00ec s\u1ef1 \u1ea9n danh c\u1ee7a m\u00ecnh trong su\u1ed1t qu\u00e1 tr\u00ecnh \u0111i\u1ec1u tra.<\/span><\/li>\n<li style=\"font-weight: 400\"><span style=\"font-weight: 400\"><strong>\u0110\u01a1n xin trao gi\u1ea3i:<\/strong> n\u1ebfu SEC tr\u1eebng ph\u1ea1t k\u1ebb gian l\u1eadn h\u01a1n 1 tri\u1ec7u \u0111\u00f4 la, ng\u01b0\u1eddi t\u1ed1 gi\u00e1c ph\u1ea3i n\u1ed9p \u0110\u01a1n xin trao gi\u1ea3i (Whistleblower Award Application) ho\u1eb7c Bi\u1ec3u m\u1eabu WB-APP c\u1ee7a Whistleblower Award. Bi\u1ec3u m\u1eabu n\u00e0y l\u00e0 y\u00eau c\u1ea7u thanh to\u00e1n gi\u1ea3i th\u01b0\u1edfng cho th\u00f4ng tin \u0111\u01b0\u1ee3c cung c\u1ea5p v\u00e0 y\u00eau c\u1ea7u cung c\u1ea5p cho SEC th\u00f4ng tin v\u1ec1 danh t\u00ednh c\u1ee7a ng\u01b0\u1eddi t\u1ed1 gi\u00e1c, bao g\u1ed3m danh t\u00ednh v\u00e0 b\u1eb1ng ch\u1ee9ng cho th\u1ea5y ng\u01b0\u1eddi t\u1ed1 gi\u00e1c \u0111\u00e3 cung c\u1ea5p cho lu\u1eadt s\u01b0 c\u1ee7a h\u1ecd bi\u1ec3u m\u1eabu TCR \u0111\u00e3 k\u00fd. Theo lu\u1eadt, SEC ph\u1ea3i duy tr\u00ec t\u00ednh \u1ea9n danh c\u1ee7a ng\u01b0\u1eddi t\u1ed1 gi\u00e1c trong h\u1ea7u h\u1ebft m\u1ecdi tr\u01b0\u1eddng h\u1ee3p.<\/span><\/li>\n<\/ul>\n<figure id=\"attachment_29517\" aria-describedby=\"caption-attachment-29517\" style=\"width: 900px\" class=\"wp-caption aligncenter\"><img decoding=\"async\" class=\"wp-image-29517\" src=\"https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-6.jpg\" alt=\"Insider Trading\" width=\"900\" height=\"600\" srcset=\"https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-6.jpg 1200w, https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-6-300x200.jpg 300w, https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-6-1024x683.jpg 1024w, https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-6-150x100.jpg 150w, https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-6-768x512.jpg 768w, https:\/\/www.fiahub.com\/blog\/wp-content\/uploads\/2025\/02\/a1-6-450x300.jpg 450w\" sizes=\"(max-width: 900px) 100vw, 900px\" \/><figcaption id=\"caption-attachment-29517\" class=\"wp-caption-text\">Theo \u0110\u1ea1o lu\u1eadt Dodd-Frank, SEC \u0111\u00e3 th\u1ef1c hi\u1ec7n c\u00e1c quy t\u1eafc cho ph\u00e9p SEC th\u1ef1c hi\u1ec7n h\u00e0nh \u0111\u1ed9ng ph\u00e1p l\u00fd \u0111\u1ed1i v\u1edbi c\u00e1c ch\u1ee7 lao \u0111\u1ed9ng \u0111\u00e3 tr\u1ea3 th\u00f9 ng\u01b0\u1eddi t\u1ed1 gi\u00e1c v\u00ec tham gia v\u00e0o ho\u1ea1t \u0111\u1ed9ng \u0111\u01b0\u1ee3c b\u1ea3o v\u1ec7 nh\u01b0 t\u1ed1 gi\u00e1c giao d\u1ecbch n\u1ed9i gi\u00e1n.<\/figcaption><\/figure>\n<h2><span class=\"ez-toc-section\" id=\"Hinh_phat_cho_giao_dich_noi_gian\"><\/span><span style=\"font-weight: 400\">H\u00ecnh ph\u1ea1t cho giao d\u1ecbch n\u1ed9i gi\u00e1n<\/span><span class=\"ez-toc-section-end\"><\/span><\/h2>\n<p><span style=\"font-weight: 400\">H\u00ecnh ph\u1ea1t cho giao d\u1ecbch n\u1ed9i gi\u00e1n c\u00f3 th\u1ec3 r\u1ea5t nghi\u00eam tr\u1ecdng v\u00e0 bao g\u1ed3m c\u1ea3 h\u1eadu qu\u1ea3 h\u00ecnh s\u1ef1 v\u00e0 d\u00e2n s\u1ef1:<\/span><\/p>\n<p><span style=\"font-weight: 400\">H\u00ecnh ph\u1ea1t d\u00e2n s\u1ef1:<\/span><\/p>\n<ul>\n<li style=\"font-weight: 400\"><span style=\"font-weight: 400\"><strong>Ho\u00e0n tr\u1ea3 l\u1ee3i nhu\u1eadn b\u1ea5t h\u1ee3p ph\u00e1p:<\/strong> c\u00e1 nh\u00e2n ph\u1ea3i tr\u1ea3 l\u1ea1i b\u1ea5t k\u1ef3 l\u1ee3i nhu\u1eadn n\u00e0o ki\u1ebfm \u0111\u01b0\u1ee3c t\u1eeb giao d\u1ecbch b\u1ea5t h\u1ee3p ph\u00e1p.<\/span><\/li>\n<li style=\"font-weight: 400\"><span style=\"font-weight: 400\"><strong>H\u00ecnh ph\u1ea1t ti\u1ec1n d\u00e2n s\u1ef1:<\/strong> SEC c\u00f3 th\u1ec3 \u00e1p d\u1ee5ng m\u1ee9c ph\u1ea1t l\u00ean \u0111\u1ebfn ba l\u1ea7n l\u1ee3i nhu\u1eadn thu \u0111\u01b0\u1ee3c ho\u1eb7c kho\u1ea3n l\u1ed7 tr\u00e1nh \u0111\u01b0\u1ee3c.<\/span><\/li>\n<li style=\"font-weight: 400\"><span style=\"font-weight: 400\"><strong>L\u1ec7nh c\u1ea5m:<\/strong> t\u00f2a \u00e1n c\u00f3 th\u1ec3 ra l\u1ec7nh cho c\u00e1 nh\u00e2n ng\u1eebng tham gia v\u00e0o gian l\u1eadn ch\u1ee9ng kho\u00e1n.<\/span><\/li>\n<li style=\"font-weight: 400\"><span style=\"font-weight: 400\"><strong>C\u1ea5m vi\u00ean ch\u1ee9c v\u00e0 gi\u00e1m \u0111\u1ed1c:<\/strong> c\u00f3 kh\u1ea3 n\u0103ng b\u1ecb c\u1ea5m l\u00e0m vi\u00ean ch\u1ee9c ho\u1eb7c gi\u00e1m \u0111\u1ed1c c\u1ee7a m\u1ed9t c\u00f4ng ty \u0111\u1ea1i ch\u00fang.<\/span><\/li>\n<\/ul>\n<p><span style=\"font-weight: 400\">H\u00ecnh ph\u1ea1t h\u00ecnh s\u1ef1:<\/span><\/p>\n<ul>\n<li style=\"font-weight: 400\"><span style=\"font-weight: 400\"><strong>Ph\u1ea1t t\u00f9:<\/strong> l\u00ean \u0111\u1ebfn 20 n\u0103m t\u00f9; t\u00f9y thu\u1ed9c v\u00e0o s\u1ed1 ti\u1ec1n thu \u0111\u01b0\u1ee3c v\u00e0 ti\u1ec1n \u00e1n c\u1ee7a ng\u01b0\u1eddi ph\u1ea1m t\u1ed9i.<\/span><\/li>\n<li style=\"font-weight: 400\"><span style=\"font-weight: 400\"><strong>Ph\u1ea1t ti\u1ec1n:<\/strong> l\u00ean \u0111\u1ebfn 5 tri\u1ec7u \u0111\u00f4 la \u0111\u1ed1i v\u1edbi c\u00e1 nh\u00e2n v\u00e0 25 tri\u1ec7u \u0111\u00f4 la \u0111\u1ed1i v\u1edbi c\u00f4ng ty.<\/span><\/li>\n<\/ul>\n<h2><span class=\"ez-toc-section\" id=\"Vi_du_noi_tieng_ve_giao_dich_noi_gian\"><\/span><span style=\"font-weight: 400\">V\u00ed d\u1ee5 n\u1ed5i ti\u1ebfng v\u1ec1 giao d\u1ecbch n\u1ed9i gi\u00e1n<\/span><span class=\"ez-toc-section-end\"><\/span><\/h2>\n<h3><span class=\"ez-toc-section\" id=\"Ishan_Wahi_2024\"><\/span><span style=\"font-weight: 400\">Ishan Wahi (2024)<\/span><span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p><span style=\"font-weight: 400\">Ishan Wahi, c\u1ef1u gi\u00e1m \u0111\u1ed1c s\u1ea3n ph\u1ea9m c\u1ee7a <a href=\"https:\/\/www.coinbase.com\" target=\"_blank\" rel=\"nofollow\">Coinbase<\/a>, v\u00e0 c\u00e1c c\u1ed9ng s\u1ef1 c\u1ee7a \u00f4ng, bao g\u1ed3m Sameer Ramani, \u0111\u00e3 tham gia v\u00e0o m\u1ed9t ch\u01b0\u01a1ng tr\u00ecnh giao d\u1ecbch n\u1ed9i gi\u00e1n li\u00ean quan \u0111\u1ebfn ch\u1ee9ng kho\u00e1n t\u00e0i s\u1ea3n ti\u1ec1n \u0111i\u1ec7n t\u1eed. Wahi \u0111\u00e3 s\u1eed d\u1ee5ng th\u00f4ng tin b\u00ed m\u1eadt v\u1ec1 c\u00e1c \u0111\u1ee3t ni\u00eam y\u1ebft s\u1eafp t\u1edbi tr\u00ean n\u1ec1n t\u1ea3ng Coinbase \u0111\u1ec3 m\u00e1ch n\u01b0\u1edbc cho Ramani v\u00e0 anh trai c\u1ee7a \u00f4ng, Nikhil Wahi. Nh\u1eefng ng\u01b0\u1eddi nh\u1eadn \u0111\u01b0\u1ee3c th\u00f4ng tin sau \u0111\u00f3 \u0111\u00e3 giao d\u1ecbch tr\u00ean MNPI n\u00e0y, t\u1ea1o ra l\u1ee3i nhu\u1eadn \u0111\u00e1ng k\u1ec3. Cu\u1ed9c \u0111i\u1ec1u tra c\u1ee7a SEC v\u00e0 v\u1ee5 ki\u1ec7n sau \u0111\u00f3 \u0111\u00e3 d\u1eabn \u0111\u1ebfn ph\u00e1n quy\u1ebft m\u1eb7c \u0111\u1ecbnh \u0111\u1ed1i v\u1edbi c\u1ea3 ba c\u00e1 nh\u00e2n, v\u1edbi l\u1ec7nh Ramani ph\u1ea3i tr\u1ea3 h\u01a1n 2,4 tri\u1ec7u \u0111\u00f4 la ti\u1ec1n b\u1ed3i th\u01b0\u1eddng v\u00e0 ti\u1ec1n ph\u1ea1t.<\/span><\/p>\n<h3><span class=\"ez-toc-section\" id=\"Matthew_Panuwat_2024\"><\/span><span style=\"font-weight: 400\">Matthew Panuwat (2024)<\/span><span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p><span style=\"font-weight: 400\">Matthew Panuwat \u0111\u00e3 b\u1ecb b\u1ed3i th\u1ea9m \u0111o\u00e0n tuy\u00ean b\u1ed1 ch\u1ecbu tr\u00e1ch nhi\u1ec7m v\u1ec1 giao d\u1ecbch n\u1ed9i gi\u00e1n trong m\u1ed9t v\u1ee5 \u00e1n do \u1ee6y ban Ch\u1ee9ng kho\u00e1n v\u00e0 Giao d\u1ecbch Hoa K\u1ef3 (SEC) \u0111\u01b0a ra. Panuwat, khi l\u00e0m vi\u1ec7c t\u1ea1i Medivation, Inc., \u0111\u00e3 s\u1eed d\u1ee5ng th\u00f4ng tin b\u00ed m\u1eadt v\u1ec1 vi\u1ec7c Pfizer Inc. s\u1eafp mua l\u1ea1i Medivation \u0111\u1ec3 mua c\u00e1c quy\u1ec1n ch\u1ecdn mua ngo\u00e0i gi\u00e1 tr\u1ecb th\u1ef1c c\u1ee7a Incyte Corporation. Giao d\u1ecbch b\u1ea5t h\u1ee3p ph\u00e1p n\u00e0y \u0111\u00e3 t\u1ea1o ra h\u01a1n 100.000 \u0111\u00f4 la l\u1ee3i nhu\u1eadn cho Panuwat. Cu\u1ed9c \u0111i\u1ec1u tra c\u1ee7a SEC v\u00e0 v\u1ee5 ki\u1ec7n sau \u0111\u00f3 \u0111\u00e3 d\u1eabn \u0111\u1ebfn ph\u00e1n quy\u1ebft c\u1ee7a b\u1ed3i th\u1ea9m \u0111o\u00e0n, trong \u0111\u00f3 Panuwat ph\u1ea3i ch\u1ecbu tr\u00e1ch nhi\u1ec7m v\u1ec1 h\u00e0nh \u0111\u1ed9ng b\u1ea5t h\u1ee3p ph\u00e1p c\u1ee7a m\u00ecnh.<\/span><\/p>\n<h3><span class=\"ez-toc-section\" id=\"Terren_S_Peizer_2023\"><\/span><span style=\"font-weight: 400\">Terren S. Peizer (2023)<\/span><span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p><span style=\"font-weight: 400\">Terren S. Peizer, Ch\u1ee7 t\u1ecbch \u0111i\u1ec1u h\u00e0nh c\u1ee7a Ontrak, Inc., \u0111\u00e3 b\u1ecb SEC bu\u1ed9c t\u1ed9i giao d\u1ecbch n\u1ed9i gi\u00e1n. Peizer b\u1ecb c\u00e1o bu\u1ed9c \u0111\u00e3 s\u1eed d\u1ee5ng c\u00e1c k\u1ebf ho\u1ea1ch giao d\u1ecbch theo Quy t\u1eafc 10b5-1 \u0111\u1ec3 b\u00e1n h\u01a1n 20 tri\u1ec7u \u0111\u00f4 la c\u1ed5 phi\u1ebfu Ontrak trong khi n\u1eafm gi\u1eef MNPI v\u1ec1 kh\u00e1ch h\u00e0ng l\u1edbn nh\u1ea5t c\u1ee7a c\u00f4ng ty. M\u1eb7c d\u00f9 bi\u1ebft v\u1ec1 m\u1ed1i quan h\u1ec7 x\u1ea5u \u0111i v\u1edbi kh\u00e1ch h\u00e0ng, Peizer v\u1eabn th\u1ef1c hi\u1ec7n c\u00e1c k\u1ebf ho\u1ea1ch giao d\u1ecbch, tr\u00e1nh \u0111\u01b0\u1ee3c nh\u1eefng t\u1ed5n th\u1ea5t \u0111\u00e1ng k\u1ec3 khi tin t\u1ee9c v\u1ec1 vi\u1ec7c ch\u1ea5m d\u1ee9t h\u1ee3p \u0111\u1ed3ng \u0111\u01b0\u1ee3c c\u00f4ng b\u1ed1 r\u1ed9ng r\u00e3i.<\/span><\/p>\n<h3><span class=\"ez-toc-section\" id=\"Raj_Rajaratnam_2011\"><\/span><span style=\"font-weight: 400\">Raj Rajaratnam (2011)<\/span><span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p><span style=\"font-weight: 400\">Raj Rajaratnam, m\u1ed9t nh\u00e0 qu\u1ea3n l\u00fd qu\u1ef9 \u0111\u1ea7u c\u01a1 t\u1ef7 ph\u00fa, \u0111\u00e3 b\u1ecb SEC ph\u1ea1t k\u1ef7 l\u1ee5c 92,8 tri\u1ec7u \u0111\u00f4 la v\u00ec giao d\u1ecbch n\u1ed9i gi\u00e1n. \u00d4ng v\u00e0 c\u00f4ng ty c\u1ee7a m\u00ecnh, Galleon Management, \u0111\u00e3 tham gia v\u00e0o m\u1ed9t k\u1ebf ho\u1ea1ch l\u1edbn t\u1ea1o ra h\u01a1n 52 tri\u1ec7u \u0111\u00f4 la l\u1ee3i nhu\u1eadn b\u1ea5t h\u1ee3p ph\u00e1p. \u0110\u00e2y l\u00e0 m\u1ed9t ph\u1ea7n c\u1ee7a cu\u1ed9c \u0111i\u1ec1u tra l\u1edbn h\u01a1n c\u1ee7a SEC \u0111\u00e3 ph\u00e1t hi\u1ec7n ra h\u01a1n 90 tri\u1ec7u \u0111\u00f4 la l\u1ee3i nhu\u1eadn b\u1ea5t h\u1ee3p ph\u00e1p t\u1eeb giao d\u1ecbch n\u1ed9i gi\u00e1n gi\u1eefa nhi\u1ec1u c\u00f4ng ty. Rajaratnam c\u0169ng b\u1ecb k\u1ebft \u00e1n trong m\u1ed9t v\u1ee5 \u00e1n h\u00ecnh s\u1ef1 song song v\u00e0 b\u1ecb tuy\u00ean \u00e1n 11 n\u0103m t\u00f9 v\u00e0 h\u01a1n 63 tri\u1ec7u \u0111\u00f4 la ti\u1ec1n ph\u1ea1t v\u00e0 t\u1ecbch thu.<\/span><\/p>\n<h3><span class=\"ez-toc-section\" id=\"SEC_buoc_toi_14_nguoi_trong_Duong_day_giao_dich_noi_gian_Pho_Wall_2007\"><\/span><span style=\"font-weight: 400\">SEC bu\u1ed9c t\u1ed9i 14 ng\u01b0\u1eddi trong \u0110\u01b0\u1eddng d\u00e2y giao d\u1ecbch n\u1ed9i gi\u00e1n Ph\u1ed1 Wall (2007)<\/span><span class=\"ez-toc-section-end\"><\/span><\/h3>\n<p><span style=\"font-weight: 400\">M\u1ed9t v\u1ee5 b\u00ea b\u1ed1i giao d\u1ecbch n\u1ed9i gi\u00e1n l\u1edbn li\u00ean quan \u0111\u1ebfn c\u00e1c c\u00f4ng ty h\u00e0ng \u0111\u1ea7u <a href=\"https:\/\/www.fiahub.com\/blog\/niem-tin-cua-nhung-ga-khong-lo-pho-wall-vao-bitcoin-spot-etf\/\">Ph\u1ed1 Wall<\/a>, bao g\u1ed3m UBS v\u00e0 Morgan Stanley, \u0111\u00e3 b\u1ecb SEC ph\u00e1t hi\u1ec7n. K\u1ebf ho\u1ea1ch n\u00e0y, li\u00ean quan \u0111\u1ebfn t\u00e1m chuy\u00ean gia Ph\u1ed1 Wall, hai nh\u00e0 m\u00f4i gi\u1edbi \u0111\u1ea1i l\u00fd, m\u1ed9t c\u00f4ng ty giao d\u1ecbch trong ng\u00e0y v\u00e0 ba qu\u1ef9 \u0111\u1ea7u c\u01a1, \u0111\u00e3 thu \u0111\u01b0\u1ee3c h\u01a1n 15 tri\u1ec7u \u0111\u00f4 la l\u1ee3i nhu\u1eadn b\u1ea5t h\u1ee3p ph\u00e1p.<\/span><\/p>\n<p><span style=\"font-weight: 400\">K\u1ebf ho\u1ea1ch n\u00e0y li\u00ean quan \u0111\u1ebfn vi\u1ec7c giao d\u1ecbch th\u00f4ng tin b\u1ecb \u0111\u00e1nh c\u1eafp v\u1ec1 c\u00e1c \u0111\u1ee3t n\u00e2ng c\u1ea5p, h\u1ea1 c\u1ea5p c\u1ee7a nh\u00e0 ph\u00e2n t\u00edch s\u1eafp t\u1edbi v\u00e0 c\u00e1c v\u1ee5 mua l\u1ea1i c\u00f4ng ty. Nh\u1eefng c\u00e1 nh\u00e2n ch\u1ee7 ch\u1ed1t nh\u01b0 Mitchel Guttenberg (UBS), Eric Franklin, David Tavdy, Randi v\u00e0 Christopher Collotta \u0111\u00e3 tham gia v\u00e0o vi\u1ec7c \u0111\u00e1nh c\u1eafp v\u00e0 chia s\u1ebb th\u00f4ng tin b\u00ed m\u1eadt. K\u1ebf ho\u1ea1ch n\u00e0y c\u0169ng li\u00ean quan \u0111\u1ebfn m\u1ed9t m\u1ea1ng l\u01b0\u1edbi nh\u1eefng ng\u01b0\u1eddi nh\u1eadn ti\u1ec1n \u0111\u00e3 h\u01b0\u1edfng l\u1ee3i t\u1eeb c\u00e1c giao d\u1ecbch b\u1ea5t h\u1ee3p ph\u00e1p.<\/span><\/p>\n<p><span style=\"font-weight: 400\">C\u1ea3m \u01a1n s\u1ef1 theo d\u00f5i v\u00e0 \u0111\u00f3n \u0111\u1ecdc c\u1ee7a c\u00e1c b\u1ea1n. \u0110\u1eebng qu\u00ean, m\u1ecdi th\u1eafc m\u1eafc v\u1ec1 th\u1ecb tr\u01b0\u1eddng ti\u1ec1n k\u1ef9 thu\u1eadt s\u1ed1 vui l\u00f2ng li\u00ean h\u1ec7 \u0111\u1ed9i ng\u0169 Support c\u1ee7a Fiahub 24\/7.\u00a0<\/span><\/p>\n","protected":false},"excerpt":{"rendered":"<p>C\u00e1c lo\u1ea1i h\u00ecnh Insider Trong khi \u0111\u1ed1i v\u1edbi m\u1ed9t s\u1ed1 m\u1ee5c \u0111\u00edch nh\u1ea5t \u0111\u1ecbnh, SEC \u0111\u1ecbnh ngh\u0129a Insider l\u00e0 m\u1ed9t vi\u00ean ch\u1ee9c, gi\u00e1m \u0111\u1ed1c ho\u1eb7c c\u1ed5 \u0111\u00f4ng n\u1eafm gi\u1eef 10% c\u1ed5 ph\u1ea7n, ho\u1eb7c b\u1ea5t k\u1ef3 ai c\u00f3 th\u00f4ng tin n\u1ed9i b\u1ed9 do m\u1ed1i quan h\u1ec7 c\u1ee7a h\u1ecd v\u1edbi c\u00f4ng ty ho\u1eb7c v\u1edbi m\u1ed9t vi\u00ean ch\u1ee9c,<\/p>\n","protected":false},"author":24,"featured_media":29514,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[21850],"tags":[23378,3147],"class_list":{"0":"post-29513","1":"post","2":"type-post","3":"status-publish","4":"format-standard","5":"has-post-thumbnail","7":"category-tu-dien-crypto","8":"tag-insider-trading","9":"tag-sec"},"yoast_head":"<!-- This site is optimized with the Yoast SEO Premium plugin v25.0 (Yoast SEO v26.6) - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Giao d\u1ecbch n\u1ed9i gi\u00e1n (Insider Trading) l\u00e0 g\u00ec? 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