Decision No. 15/2008/QD-BTC of the Ministry of Finance issuing the Securities Business Code applies to securities companies, fund management companies, and investment securities companies. The Decision takes effect fifteen days from the date of publication in the Official Gazette.
Scope of application
Securities companies, fund management companies, investment securities companies, Director of the Office of the Ministry of Finance, Chairman of the State Securities Commission, and related organizations and individuals.
Key points
- Securities companies, fund management companies, and investment securities companies are permitted to engage in securities business in accordance with the provisions of the Code.
- This Decision takes effect fifteen days from the date of publication in the Official Gazette.
🌐 Social impact of this document
- Positive impact: Ensuring that securities activities are strictly managed and transparent.
- Negative impact: May increase costs for securities companies due to compliance with new regulations.
❓ Frequently asked questions
To whom does this Decision apply?
The Decision applies to securities companies, fund management companies, and investment securities companies.
When does the Decision take effect?
The Decision takes effect fifteen days from the date of publication in the Official Gazette.
What must securities companies do to comply with this Decision?
Securities companies, fund management companies, and investment securities companies must be responsible for implementing the Decision.
What contents does the Securities Business Code include?
The contents of the Securities Business Code issued together with this Decision are detailed in the attached document but not included in the text of the Decision.
Who is responsible for implementing this Decision?
The Director of the Office of the Ministry of Finance, the Chairman of the State Securities Commission, and related organizations and individuals are responsible for implementing the Decision.
Full text
Pursuant to …;
Issuing the Securities Business Code of Conduct
___________________________
THE MINISTER OF FINANCE
BASED ON THE SECURITIES LAW NUMBER 70/2006/QH11 OF JUNE 29, 2006;
Pursuant to Decree No. 14/2007/ND-CP dated January 19, 2007 of the Government detailing certain provisions of the Securities Law;
Pursuant to Decree No. 77/2003/ND-CP dated July 1, 2003 of the Government stipulating the functions, tasks, powers, and organizational structure of the Ministry of Finance;
At the proposal of the Chairman of the State Securities Commission,
Pursuant to …;:
Article 1. The Securities Business Code of Conduct is hereby issued together with this Decision.
Article 2. This Decision shall take effect fifteen days from the date of publication in the Official Gazette.
Article 3. The Director of the Ministry's Office, the Chairman of the State Securities Commission, securities practitioners, securities companies, fund management companies, investment securities companies, and other related organizations and individuals are responsible for implementing this Decision.
DEPUTY MINISTER
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