Decision No. 1836/QD-BTC On announcing administrative procedures in the securities sector within the scope of the Ministry of Finance’s state management functions 1836/QĐ-BTC

✦ Smart summary

This Decision announces and adjusts administrative procedures in the securities sector under the management scope of the Ministry of Finance, including new share issuance registration, public offering of shares to the public in Vietnam or abroad, and securities listing.

Scope of application

Securities trading organizations, enterprises issuing securities, and state management agencies in the securities sector

Key points

Enterprises must register for public offering of shares to the public in Vietnam or abroad in accordance with the regulations (Article 1).
Newly established enterprises in the infrastructure and high-tech sectors must register for public offering of shares to the public (Article 1).
Enterprises must list their securities on the Stock Exchange in accordance with the regulations (Article 1).
Administrative procedures related to convertible bond issuance and warrant-linked bonds are adjusted and announced specifically (Article 1).
The State Securities Commission is responsible for implementing administrative procedures in the securities sector (Article 1)

🌐 Social impact of this document

To strengthen state management over securities issuance and listing activities.
Improve the investment environment through simplification of administrative procedures.
Directly affected entities are enterprises issuing shares and bonds.

❓ Frequently asked questions

Updating.

Full text

MINISTRY OF FINANCE

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Decision No.: 1836/QD-BTC

SOCIALIST REPUBLIC OF VIETNAM

Independence - Freedom - Happiness

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Hanoi, August 5, 2013

Pursuant to …;

On publicizing administrative procedures in the securities sector within the scope of the Ministry of Finance's state management functions

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THE MINISTER OF FINANCE

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;

Pursuant to Decree No. 63/2010/NĐ-CP dated June 8, 2010 of the Government on administrative procedure control;

Pursuant to Government Decree No. 48/2013/ND-CP dated May 14, 2013 on amending and supplementing certain articles of related decrees concerning administrative procedure control;

Pursuant to Government Decree No. 58/2012/ND-CP dated July 20, 2012 on detailing and guiding the implementation of certain provisions of the Securities Law and the Law Amending and Supplementing Certain Provisions of the Securities Law;

Pursuant to Circular No. 204/2012/TT-BTC dated November 19, 2012 of the Ministry of Finance on guiding the documents and procedures for offering securities to the public;

Pursuant to Circular No. 73/2013/TT-BTC dated May 29, 2013 of the Ministry of Finance on detailing certain provisions regarding the listing of securities under Government Decree No. 58/2012/NĐ-CP dated July 20, 2012 detailing and guiding the implementation of certain provisions of the Securities Law and the Law Amending and Supplementing Certain Provisions of the Securities Law;

Considering the proposal of the Chairman of the State Securities Commission, the Head of the Legal Department,

DECISION:

Article 1. Annexed to this Decision are seventeen (17) administrative procedures in the securities sector within the scope of the Ministry of Finance's state management functions, including:

- Four (04) new administrative procedures (Annex 1 attached hereto).

- Thirteen (13) administrative procedures amended, supplemented, and replacing administrative procedures previously published in Decision No. 2854/QD-BTC dated November 9, 2012 and Decision No. 1905/QD-UBCK dated August 10, 2009 of the Ministry of Finance in the securities sector (Annex 2 attached hereto).

Article 2. This Decision shall take effect from the date of signing.

Article 3. The Chairman of the State Securities Commission, the Head of the Legal Department, the Director of the Information Technology and Financial Statistics Department, and the Heads of relevant units shall be responsible for implementing this decision./.

Place of Receipt:

- Administrative Procedure Control Division;

- Ministry of Planning and Investment Portal;

- As Article 3;

- Ministry of Finance website;

- Website of the State Securities Commission;

- File: VT, State Securities Commission.

DEPUTY MINISTER

(signed)

Tran Xuan Ha

Respectfully submitted to: The State Bank of Vietnam Branch in the Region ...

LIST OF NEW ADMINISTRATIVE PROCEDURES WITHIN THE SCOPE OF STATE MANAGEMENT FUNCTIONS OF THE MINISTRY OF FINANCE
(Annexed to Decision No. 1836/QD-BTC dated August 5, 2013 of the Ministry of Finance)
No.	NAME OF ADMINISTRATIVE PROCEDURE	Sector, Field	Agency a) Report to the Ministry of Natural Resources and Environment on the results of training and upgrading, including listing the teaching staff participating in teaching, evaluating the participation of trainees in the training process, the results of organizing examinations for completing the training and upgrading program on land valuation business, the issuance of Certificates and the use of Certificate codes, summarizing the feedback from trainees on the quality of the training and upgrading program on land valuation business, and other relevant matters.
1.	Registration of issuance of new shares as the basis for offering depositary receipts abroad	Securities	State Securities Commission
2.	Issuance of depositary receipts abroad based on shares issued in Vietnam	Securities	State Securities Commission
3.	Registration of public offering of shares in Vietnam by foreign-established enterprises	Securities	State Securities Commission
4.	Registration of public offering of bonds in Vietnam by foreign-established enterprises	Securities	State Securities Commission

DIRECTOR OF THE STATE BANK OF VIETNAM

LIST OF AMENDED, SUPPLEMENTED, AND REPLACED ADMINISTRATIVE PROCEDURES WITHIN THE SCOPE OF STATE MANAGEMENT FUNCTIONS OF THE MINISTRY OF FINANCE
(Annexed to Decision No. 1836/QD-BTC dated August 5, 2013 of the Ministry of Finance)
No.	NAME OF ADMINISTRATIVE PROCEDURE	Sector, Field	Agency a) Report to the Ministry of Natural Resources and Environment on the results of training and upgrading, including listing the teaching staff participating in teaching, evaluating the participation of trainees in the training process, the results of organizing examinations for completing the training and upgrading program on land valuation business, the issuance of Certificates and the use of Certificate codes, summarizing the feedback from trainees on the quality of the training and upgrading program on land valuation business, and other relevant matters.	Content of amendment supplementation	Remarks
1.	Registration of initial public offering of shares to establish a new joint-stock credit institution – B-BTC-239083-TT	Securities	State Securities Commission	Name of administrative procedure; components of the dossier; name of application form, declaration form; legal basis for the administrative procedure	Amend TTHC No. TT 3 - Annex 1 (Annexed to Decision No. 2854/QD-BTC dated November 9, 2012)
2.	Registration of public offering of shares by a joint-stock company formed through mergers and acquisitions – B-BTC-239084-TT	Securities	State Securities Commission	Name of administrative procedure; components of the dossier; name of application form, declaration form; legal basis for the administrative procedure	Amend TTHC No. TT 4 - Annex 1 (Annexed to Decision No. 2854/QD-BTC dated November 9, 2012)
3.	Registration of public offering of bonds by a joint-stock company formed through mergers and acquisitions – B-BTC-239084-TT	Securities	State Securities Commission	Name of administrative procedure; components of the dossier; name of application form, declaration form; legal basis for the administrative procedure	Amend TTHC No. TT 4 - Annex 1 (Annexed to Decision No. 2854/QD-BTC dated November 9, 2012)
4.	Registration of public offering of shares by major shareholders (including state-owned corporations and companies) selling their shares in public offerings in listed companies – B-BTC-239085-TT	Securities	State Securities Commission	Name of administrative procedure; components of the dossier; name of application form, declaration form; legal basis for the administrative procedure	Amend TTHC No. TT 5 - Annex 1 (Annexed to Decision No. 2854/QD-BTC dated November 9, 2012)
5.	Registration of issuance of shares for share exchange – B-BTC-239086-TT	Securities	State Securities Commission	Name of administrative procedure; components of the dossier; name of application form, declaration form; legal basis for the administrative procedure	Amend TTHC No. TT 6 - Annex 1 (Annexed to Decision No. 2854/QD-BTC dated November 9, 2012)
6.	Registration of public offering of shares to establish a new enterprise in the infrastructure sector – B-BTC-239107-TT	Securities	State Securities Commission	Components of the dossier; name of application form, declaration form; legal basis for the administrative procedure	Amend TTHC No. TT 27 - Annex 1 (Annexed to Decision No. 2854/QD-BTC dated November 9, 2012)
7.	Registration of public offering of shares to establish a new high-tech enterprise – B-BTC-239108-TT	Securities	State Securities Commission	Components of the dossier; name of application form, declaration form; legal basis for the administrative procedure	Amend TTHC No. TT 28 - Annex 1 (Annexed to Decision No. 2854/QD-BTC dated November 9, 2012)
8.	Registration of public offering of shares – B-BTC-239139-TT	Securities	State Securities Commission	Name of administrative procedure; components of the dossier; name of application form, declaration form; legal basis for the administrative procedure.	Amend TTHC No. TT 1 - Annex 2 (Annexed to Decision No. 2854/QD-BTC dated November 9, 2012)
9.	Registration of public offering of convertible bonds and bonds with attached warrants by a joint-stock company – B-BTC-239142-TT	Securities	State Securities Commission	Name of administrative procedure; components of the dossier; name of application form, declaration form; legal basis for the administrative procedure.	Amend TTHC No. TT 2 - Annex 2 (Annexed to Decision No. 2854/QD-BTC dated November 9, 2012)
10.	Registration of public offering of corporate bonds with guarantees – B-BTC-239146-TT	Securities	State Securities Commission	Components of the dossier; name of application form, declaration form; legal basis for the administrative procedure.	Amend TTHC No. TT 3 - Annex 2 (Annexed to Decision No. 2854/QD-BTC dated November 9, 2012)
11.	Registration and reporting of tender offer results – B-BTC-239154-TT	Securities	State Securities Commission	Name of administrative procedure; application form, declaration form; legal basis for the administrative procedure.	Amend TTHC No. TT 5 - Annex 2 (Annexed to Decision No. 2854/QD-BTC dated November 9, 2012)
12.	Registration of public offering of bonds – B-BTC-239158-TT	Securities	State Securities Commission	Name of administrative procedure; components of the dossier; name of application form, declaration form; legal basis for the administrative procedure.	Amend TTHC No. TT 7 - Annex 2 (Annexed to Decision No. 2854/QD-BTC dated November 9, 2012)
13.	Registration for listing at the Stock Exchange – B-BTC-038082-TT	Securities	Ho Chi Minh City Stock Exchange and Hanoi Stock Exchange	Name of administrative procedure; components of the dossier; legal basis for the administrative procedure.	Amend TTHC No. TT 4 Section II Part I (Annexed to Decision No. 1905/QD-BTC dated August 10, 2009

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58/2012/NĐ-CP Nghị định số 58/2012/NĐ-CP Quy định chi tiết và hướng dẫn thi hành một số điều của Luật Chứng khoán và Luật Sửa đổi bổ sung một số điều của Luật Chứng khoán Expired 204/2012/TT-BTC Thông tư số 204/2012/TT-BTC Hướng dẫn hồ sơ, thủ tục chào bán chứng khoán ra công chúng In effect 48/2013/NĐ-CP Nghị định số 48/2013/NĐ-CP Sửa đổi, bổ sung một số điều của các Nghị định liên quan đến kiểm soát thủ tục hành chính In effect 73/2013/TT-BTC Thông tư số 73/2013/TT-BTC Hướng dẫn chi tiết một số điều về niêm yết chứng khoán tại Nghị định số 58/2012/NĐ-CP ngày 20/7/2012 quy định chi tiết và hướng dẫn thi hành một số điều của Luật Chứng khoán và Luật sửa đổi, bổ sung một số điều của Luật Chứng khoán Expired 63/2010/NĐ-CP Nghị định số 63/2010/NĐ-CP Về kiểm soát thủ tục hành chính In effect 118/2008/NĐ-CP Nghị định số 118/2008/NĐ-CP Quy định chức năng, nhiệm vụ, quyền hạn và cơ cấu tổ chức của Bộ Tài chính Expired

1836/QĐ-BTC

Decision No. 1836/QD-BTC On announcing administrative procedures in the securities sector within the scope of the Ministry of Finance’s state management functions

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Tiếng Việt Quyết định số 1836/QĐ-BTC Về công bố thủ tục hành chính trong lĩnh vực chứng khoán thuộc phạm vi chức năng quản lý nhà nước của Bộ Tài chính 한국어 결정 번호 1836/QĐ-BTC 증권 분야에 속하는 국가 관리 기능 범위 내의 행정 절차 공표에 관한 것 中文决定第1836号/2025/NĐ-CP 关于证券领域内由财政部管理的行政程序的公布