Decision No. 112/2009/QD-TTg stipulates the functions, tasks, powers, and organizational structure of the State Securities Commission under the Ministry of Finance. This document determines the legal position, specific tasks, powers, and organizational structure of the State Securities Commission, and also provides for leadership and enforcement effectiveness.
适用范围
The State Securities Commission under the Ministry of Finance
要点
- The State Securities Commission is an agency under the Ministry of Finance, performing the function of advising and managing state affairs related to securities and the securities market.
- The Chairman and Vice Chairmen of the State Securities Commission are appointed and relieved of their positions by the Minister of Finance.
- The State Securities Commission has legal personality, its own seal, an account at the National Treasury, and headquarters in Hanoi.
- The tasks of the State Securities Commission include submitting to the Government draft laws, resolutions, strategies, and plans concerning securities; issuing professional guidance documents; managing and supervising securities activities and the securities market.
- The organizational structure of the State Securities Commission includes fifteen administrative and operational units.
🌐 本文件的社会影响
- Positive impact: Strengthening state management over securities, protecting the legitimate rights and interests of investors.
- Negative impact: It may impose administrative burdens on organizations and individuals operating in the securities sector.
❓ 常见问题
What powers does the State Securities Commission have?
The State Securities Commission has the authority to submit to the Government and the Prime Minister draft laws and resolutions concerning securities; issue professional guidance documents; manage and supervise the operations of stock exchanges and securities depositories.
What powers does the Chairman of the State Securities Commission have?
The Chairman is the head of the State Securities Commission, accountable to the Minister of Finance and the law for all activities of the Commission. The Vice Chairmen are accountable to the Chairman and the law for the areas of work assigned to them.
How many Vice Chairmen does the State Securities Commission have?
Not more than three Vice Chairmen, this number will be implemented according to the current regulations of the Prime Minister until a different decision is made.
What units make up the organizational structure of the State Securities Commission?
The organizational structure includes fifteen units: Legal Affairs Department, Market Development Department, Issuance Management Department, Business Management Department, Fund Management Companies and Investment Funds Management Department, Market Supervision Department, International Cooperation Department, Organization and Cadre Department, Financial Management and Administration Department, Office, Securities Commission Representative Office in Ho Chi Minh City, Inspectorate, Information Technology Bureau, Securities Science Research and Training Center, Securities Magazine.
When does this Decision take effect?
This Decision takes effect from November 1, 2009.
全文
Pursuant to …;
||| Regulations on functions, tasks, powers, and organizational structure of
The State Securities Commission under the Ministry of Finance
______________________
PRIME MINISTER
Pursuant to the Law on Organization of the Government dated December 25, 2001;
Pursuant to the Securities Law dated June 29, 2006;
Pursuant to Decree No. 178/2007/NĐ-CP dated December 3, 2007 of the Government stipulating the functions, tasks, powers, and organizational structure of ministries and ministerial-level agencies;
Pursuant to Decree No. 118/2008/NĐ-CP dated November 27, 2008, of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Finance;
Considering the proposal of the Minister of Finance,
DECISION:
Article 1. Position and Functions
1. The State Securities Commission is an agency under the Ministry of Finance, performing the function of advising and assisting the Minister of Finance in managing the securities market and stock market; directly managing and supervising securities activities and the stock market; managing service activities within the securities and stock market sectors as prescribed by law.
2. The State Securities Commission has legal personality, a seal with the National Emblem, a separate account at the State Treasury, and its headquarters in Hanoi City.
b) Draft five-year and annual socio-economic development plans for the province; major economic and social balances for the province; draft five-year and annual plans, programs, projects, measures to organize and implement tasks related to socio-economic development, finance-budget, planning-investment, and other tasks within the scope of state management of the Department of Finance as prescribed by law;
The State Securities Commission shall perform the following tasks and powers:
1. Submit to the Minister of Finance for submission to the Government and the Prime Minister for consideration and decision:
a) Draft laws, draft resolutions of the National Assembly, draft ordinances, draft resolutions of the Standing Committee of the National Assembly; draft decrees of the Government; draft decisions of the Prime Minister regarding securities and the stock market.
b) Strategies, plans, national target programs, action programs, projects, and important initiatives concerning securities and the stock market.
2. Submit to the Minister of Finance for consideration and decision:
a) Draft circulars and other documents concerning securities and the securities market;
b) Annual plans for developing the securities market.
3. Issuing guidance documents, professional documents, internal regulatory documents, and individual documents within the scope of management of the State Securities Commission.
4. Implement regulatory legal documents, strategies, plans, programs, projects, and initiatives within the securities and stock market sectors after they have been issued or approved by competent authorities.
5. Propagating, disseminating, and educating the public about laws related to securities and the securities market.
6. Issue, extend, suspend, or revoke licenses and certificates related to securities activities and the stock market; approve changes related to securities activities and the stock market.
7. Manage and supervise the activities of stock exchanges, securities trading centers, securities depository centers, and auxiliary organizations; temporarily suspend trading and depositing activities of stock exchanges, securities trading centers, and securities depository centers if there are signs affecting investors' rights and legitimate interests; approve regulations and rules of stock exchanges, securities trading centers, and securities depository centers; approve the listing of new types of securities, changes, and application of new trading methods, and the operation of new trading systems.
8. Inspecting, supervising, handling administrative violations, and resolving complaints and denunciations in securities activities and the securities market.
9. Conduct statistical work and forecasting on securities activities and the stock market; organize the management and application of information technology, modernizing operations within the securities and stock market sectors.
10. Organize scientific research; organize and coordinate with relevant agencies and organizations to train and enhance the capacity of securities management officials and securities practitioners; popularize knowledge about securities and the stock market among the public.
11. Carry out international cooperation in the securities and stock market sector according to the division and delegation of authority by the Minister of Finance and as prescribed by law.
12. Guide securities associations in implementing their purposes, principles, and operational charters; inspect compliance with state regulations, handle or recommend competent state authorities to handle violations of law by securities associations according to the delegation of authority by the Minister of Finance and as prescribed by law.
13. Implementing reporting systems on securities and the securities market according to the provisions of the law and the division of labor and authority assigned by the Minister of Finance.
14. Manage organizational structures and staffing; implement salary systems and incentive policies, commendation and reward systems, disciplinary measures, training, and enhancement for officials, civil servants, and employees under the management of the State Securities Commission according to the delegation of authority by the Minister of Finance and as prescribed by law; implement anti-corruption, thrift, and waste prevention measures in the use of assigned assets and funds as prescribed by law.
15. Implementing administrative reform according to the goals and content of the administrative reform program approved by the Minister of Finance.
16. Managing state budget funds and other sources of funding, assets allocated; implementing self-management systems for staffing and operating funds according to the provisions of competent authorities.
17. Performing other tasks and powers assigned by the Minister of Finance and stipulated by the law.
Article 3. Organizational Structure
1. Legal Affairs Department;
2. Department of Securities Market Development.
3. Department of Securities Issuance Management.
4. Department of Securities Trading Management.
5. Department of Management of Fund Management Companies and Stock Investment Funds.
6. Department of Stock Market Supervision.
7. Department of International Cooperation.
8. Department of Organization and Cadre Management.
9. Financial Affairs and Administration Department.
10. Office;
11. The State Securities Commission's Representative Office in Ho Chi Minh City.
12. Inspectorate.
13. Information Technology Agency.
14. Center for Scientific Research and Securities Training.
15. Securities Magazine.
Organizations specified from Clause 1 to Clause 13 of this Article are administrative organizations assisting the Chairman of the State Securities Commission in performing state management functions; organizations specified in Clause 14 and Clause 15 are public service units.
The Minister of Finance shall stipulate the functions, tasks, powers, and organizational structure of units under the State Securities Commission.
Article 4. Leadership
1. The State Securities Commission shall have a Chairman and not more than three Vice Chairmen.
2. The Chairman and Vice Chairmen of the State Securities Commission shall be appointed, relieved of duty, and dismissed in accordance with the provisions of law by the Minister of Finance.
3. The Chairman is the head of the State Securities Commission, responsible before the Minister of Finance and the law for all activities of the State Securities Commission. The Vice Chairmen of the State Securities Commission are responsible before the Chairman of the State Securities Commission and the law for the areas of work they are assigned to manage.
Article 5. Effectiveness and Responsibility for Implementation
1. This Decision takes effect from November 1, 2009.
2. Repeal Decision No. 63/2007/QĐ-TTg dated May 10, 2007 of the Prime Minister on the functions, tasks, powers, and organizational structure of the State Securities Commission under the Ministry of Finance.
3. The number of Vice Chairmen of the State Securities Commission shall be implemented according to the current regulations of the Prime Minister until the Prime Minister issues a different decision.
4. Ministers, heads of ministerial-level agencies, heads of government-affiliated agencies, Chairmen of provincial and centrally-administered city People's Committees, and the Chairman of the State Securities Commission are responsible for enforcing this Decision./.
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