Circular No. 134/2009/TT-BTC stipulates the levels of fees and charges, the collection, payment, management, and use of such fees and charges in the securities sector applicable to the State Securities Commission.

✦ Tóm lược thông minh

Circular No. 134/2009/TT-BTC stipulates the levels of fees and charges, the collection, payment, management, and use of such fees and charges in the securities sector applicable to the State Securities Commission. This document applies to organizations and individuals involved in activities related to issuing securities licenses.

Đối tượng áp dụng

Organizations and individuals engaged in securities activities listed in the Table of Fee and Charge Levels prescribed in Article 1 of this Circular shall pay the fees and charges.

Các điểm cốt lõi

The fees and charges are payable for work related to issuing securities licenses (Article 1).
The levels of fees and charges shall be implemented according to the Table of Fee and Charge Levels issued together with this Circular (Article 1).
The payers of fees and charges are organizations and individuals engaged in securities activities listed in the Table of Fee and Charge Levels prescribed in Article 1 of this Circular (Article 2).
Fees and charges belong to the state budget and are used entirely pursuant to Decision No. 29/2009/QĐ-TTg of the Prime Minister on the self-management system for staffing and operating funds of the State Securities Commission (Article 3).
This Circular takes effect 45 days from the date of issuance and abolishes the provisions regarding fees and charges in the securities sector applicable to the State Securities Commission as stipulated in Circular No. 110/2002/TT-BTC (Article 4).

🌐 Tác động xã hội từ văn bản này

Positive impact: Helps manage fees and charges in the securities sector strictly and effectively.
Negative impact: May impose a financial burden on organizations and individuals involved in activities related to issuing securities licenses.

❓ Câu hỏi thường gặp

What fees does my company need to pay when applying for a securities license?

According to this Circular, your company will have to pay fees at the levels specified in the Table of Fee and Charge Levels issued together with this Circular. The specific fee amount depends on the type of license and the number of applications submitted.

How are the fee levels defined?

The fee levels are defined in the Table of Fee and Charge Levels issued together with this Circular. The specific fee amounts depend on the type of license and the number of applications submitted.

Does my company have to pay the fee only once upon receiving the license?

Yes, organizations and individuals must pay the full amount of the charges in one lump sum upon receipt of the license according to Article 3 of this Circular.

How will the collected fees and charges be used?

Fees and charges belong to the state budget and are used entirely pursuant to Decision No. 29/2009/QĐ-TTg of the Prime Minister on the self-management system for staffing and operating funds of the State Securities Commission.

When does this Circular take effect?

This Circular takes effect 45 days from the date of issuance, as stipulated in Article 4 of this Circular.

Toàn văn

MINISTRY OF FINANCE

SOCIALIST REPUBLIC OF VIET NAM

Independence – Freedom – Happiness

Number: 134/2009/TT-BTC

Hanoi, July 1, 2009

CIRCULAR

Regulations on the level of collection, collection system, payment, management, and use of fees and charges in the securities sector applicable to the State Securities Commission

securities shall be applied at the State Securities Commission

____________________

Pursuant to Decree No. 57/2002/NĐ-CP dated June 3, 2002 of the Government detailing the implementation of the Ordinance on Fees and Charges, and Decree No. 24/2006/NĐ-CP dated March 6, 2006 amending and supplementing certain articles of Decree No. 57/2002/NĐ-CP dated June 3, 2002 of the Government detailing the implementation of the Ordinance on Fees and Charges;

Pursuant to Decree No. 14/2007/NĐ-CP dated January 19, 2007 of the Government detailing the implementation of certain provisions of the Securities Law;

Pursuant to the 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;

Pursuant to Decision No. 29/2009/QĐ-TTg dated February 20, 2009 of the Prime Minister on the self-management regime regarding staffing and operating funds of the State Securities Commission;

The Ministry of Finance hereby stipulates the level of collection, collection system, payment, management, and use of fees and charges in the securities sector applicable to the State Securities Commission as follows:

Article 1. Objects subject to fees and charges and levels of collection

1. The objects subject to fees and charges are activities related to issuing various types of licenses concerning activities in the securities sector.

2. The level of fees and charges in the securities sector applicable to the State Securities Commission shall be implemented according to the Fee and Charge Collection Table attached to this Circular.

Article 2. Fee and Charge Payers

The fee and charge payers are organizations and individuals conducting activities in the securities sector listed in the Fee and Charge Collection Table prescribed in Article 1 of this Circular.

Article 3. Organization of collection, payment, management and use

1. Fees and charges in the securities sector applicable to the State Securities Commission are revenue items belonging to the state budget. The fee and charge collecting agency (the State Securities Commission) may use the entire amount (100%) of collected fees and charges according to Decision No. 29/2009/QĐ-TTg dated February 20, 2009 of the Prime Minister on the self-management regime regarding staffing and operating funds of the State Securities Commission and guiding documents.

2. Fees and charges in the securities sector applicable to the State Securities Commission shall be collected in Vietnamese dong. Organizations and individuals who are granted permission to operate have the responsibility to pay the entire amount of the charge in one lump sum when they are granted permission.

Article 4. Implementation provisions

1. This Circular takes effect 45 days from the date of signature. It abolishes the provisions on fees and charges in the securities sector applicable to the State Securities Commission as stipulated in Circular No. 110/2002/TT-BTC dated December 12, 2002 of the Ministry of Finance guiding the collection, payment, management, and use of fees and charges in the banking, securities, and insurance sectors.

2. Other regulations on collection, payment, management, use, receipt, publicizing the collection system for fees and charges in the securities sector applicable to the State Securities Commission shall be implemented according to the guidance provided in Circular No. 63/2002/TT-BTC dated July 24, 2002 guiding the implementation of regulations on fees and charges; Circular No. 45/2006/TT-BTC dated May 25, 2006 amending and supplementing Circular No. 63/2002/TT-BTC dated July 24, 2002 of the Ministry of Finance guiding the implementation of legal regulations on fees and charges; and Circular No. 60/2007/TT-BTC dated June 14, 2007 guiding the implementation of certain provisions of the Tax Administration Law and guiding the implementation of Decree No. 85/2007/NĐ-CP dated May 25, 2007 of the Government detailing the implementation of certain provisions of the Tax Administration Law.

3. During the implementation process, if there are any difficulties, organizations and individuals are requested to promptly report to the Ministry of Finance for research and supplementary guidance.

DEPUTY MINISTER
DEPUTY MINISTER

Do Hoang Anh Tuan