This directive requires rectification of the work of inspecting and supervising the registered capital, shareholders, and shares of joint stock commercial banks carried out by the Branches of the State Bank of Vietnam in provinces and cities. It particularly emphasizes individual responsibility for strictly inspecting the capital contribution process before increasing the registered capital.
要点
- The Director of the Branch of the State Bank of Vietnam in provinces and cities must strictly inspect the capital contribution process of joint stock commercial banks before increasing the registered capital (Point 1).
- The Branch of the State Bank of Vietnam in provinces and cities must regularly inspect and supervise changes in the registered capital and shareholders of joint stock commercial banks to prevent violations from occurring (Point 2).
- The Branch of the State Bank of Vietnam in provinces and cities must report periodically every six months on changes in major shareholders, especially changes in shareholding of members of the Board of Directors, Supervisory Board Members, large shareholders, and founding shareholders (Point 3).
- The Director of the Branch of the State Bank of Vietnam in provinces and cities is fully responsible for any errors due to insufficient inspection and supervision (Point 1).
- The Head of the Department of Commercial Banks shall lead together with the Inspector General of the State Bank of Vietnam to direct the banking inspection system regarding the business of inspecting, supervising, and handling violations related to registered capital, shareholders, shares, and stocks (Point 4).
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DIRECTIVE OF THE GOVERNOR OF THE STATE BANK
Regarding the rectification of shareholder, share, and stock capital inspection work,
of joint-stock commercial banks
In recent times, many joint-stock commercial banks have not strictly implemented regulations, and many branches of the State Bank have relaxed management over the provisions of the State Bank concerning shareholders, shares, stocks, and registered capital. To rectify the inspection and supervision work of the State Bank regarding the registered capital of joint-stock commercial banks, the Governor of the State Bank issues the following directive:
1. The Director of the State Bank Branch in provinces and cities must direct strict inspections of the capital contribution process of joint-stock commercial banks within their jurisdiction before the Governor of the State Bank approves an increase in registered capital to prevent situations where violations of laws and regulations of the State Bank still occur but are submitted for approval by the Governor of the State Bank. Any violations discovered due to inadequate inspection and oversight shall be fully the responsibility of the Director of the State Bank Branch before the Governor of the State Bank.
2. The Director of the State Bank Branch in provinces and cities must direct regular inspections and monitoring of changes in registered capital and shareholders of joint-stock commercial banks within their jurisdiction to promptly address and handle any violations that arise.
3. Every six months, the State Bank Branch in provinces and cities must report (six-monthly and annual reports) on changes in shareholders, particularly changes in share capital of board members, supervisors, major shareholders, and founding shareholders of joint-stock commercial banks within their jurisdiction.
4. Responsibilities of the State Bank at all levels:
The Director of the State Bank Branch in provinces and cities with headquarters of joint-stock commercial banks must strictly implement the above contents and bear full responsibility before the Governor of the State Bank for points 1, 2, and 3 mentioned above.
The Head of the Department of Commercial Banks, together with the Chief Inspector of the State Bank, is responsible for directing the banking inspection system on inspection, supervision, and handling of violations related to registered capital, shareholders, shares, and stocks at joint-stock commercial banks. They are also responsible for monitoring, summarizing, and proposing measures to the Governor of the State Bank to deal with joint-stock commercial banks that frequently violate or seriously violate laws and regulations of the State Bank regarding registered capital and shareholders, shares, and stocks./.
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