This Decision lists 54 administrative procedures related to the securities market, including both national and local levels. These procedures relate to trading registration, listing, fund management, establishment of securities companies, etc.
适用范围
Securities business organizations, fund management companies, securities depository and trading centers, as well as individual and organizational investors in the Vietnamese securities market.
要点
- Listing 54 administrative procedures related to securities business activities.
- The procedures are classified into national level (implemented by the State Securities Commission) and local level (implemented by the Hanoi Stock Exchange, Ho Chi Minh City Stock Exchange, Vietnam Securities Depository Center).
- Including activities such as trading registration, listing, fund management, establishment of securities companies, and more.
- Requesting the update and publication of these administrative procedures to ensure transparency and facilitate individuals and businesses in carrying out activities related to the securities market.
- Ensuring compliance with legal regulations on state management of the securities market.
🌐 本文件的社会影响
- Enhancing transparency and efficiency in managing securities business activities.
- Helping organizations and individuals to more easily carry out administrative procedures related to the securities market.
- Improving the investment environment for both domestic and international investors.
❓ 常见问题
Who is responsible for implementing the listed administrative procedures?
The State Securities Commission, Hanoi Stock Exchange, Ho Chi Minh City Stock Exchange, and Vietnam Securities Depository Center.
What must securities business organizations do to comply with these regulations?
They need to update information on relevant administrative procedures and follow the published process.
Is there any support provided to individual investors in understanding and complying with these regulations?
The State Securities Commission and related agencies will provide guidance and necessary information to help investors understand the regulations clearly.
全文
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MINISTRY OF FINANCE |
SOCIALIST REPUBLIC OF VIET NAM |
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Number: 1905/QD-BTC |
Hanoi, August 10, 2009 |
Pursuant to …;
Regarding the publication of administrative procedures under the securities sector
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THE MINISTER OF FINANCE
Pursuant to Decree No. 118/2008/ND-CP dated November 27, 2008 of the Government on the functions, tasks, powers, and organizational structure of the Ministry of Finance;
Pursuant to Decision No. 30/QD-TTg dated January 10, 2007 of the Prime Minister approving the Project on Simplifying Administrative Procedures in various fields of state management for the period 2007-2010;
Pursuant to Decision No. 07/QD-TTg dated January 4, 2008 of the Prime Minister approving the Implementation Plan of the Project on Simplifying Administrative Procedures in various fields of state management for the period 2007-2010;
Pursuant to the instructions of the Prime Minister regarding the publication of administrative procedures within the scope of the management functions of the Ministry of Finance as stated in Official Letter No. 1071/TTg-TCCV dated June 30, 2009;
Considering the proposal of the Head of the Working Group implementing Project 30 of the Ministry of Finance,
DECISION:
Article 1The Ministry hereby publishes the attached administrative procedures under the securities sector.
1. In cases where the administrative procedures mentioned in this Decision are amended, supplemented, or abolished by competent state agencies after the effective date of this Decision, and new administrative procedures are issued, such procedures shall be implemented in accordance with the regulations of the competent state agencies and must be updated for publication.
2. In cases where administrative procedures are issued by competent state agencies but not published in this Decision, they shall be implemented in accordance with the regulations of the competent state agencies and must be updated for publication.
Article 2. The Working Group implementing Project 30 of the Ministry of Finance shall take the lead and coordinate with the State Securities Commission and related units to regularly update and submit to the Minister for publication the administrative procedures mentioned in Clause 1, Article 1 of this Decision. The deadline for updating or removing these administrative procedures shall not exceed ten days from the date the document regulating the administrative procedure becomes effective.
As for the administrative procedures mentioned in Clause 2, Article 1 of this Decision, the Working Group implementing Project 30 of the Ministry of Finance shall take the lead and coordinate with the State Securities Commission and related units to submit to the Minister for publication within ten days from the date of discovery that the administrative procedure has not been published.
Article 3. This Decision shall take effect from the date of signing.
Article 4The Head of the Working Group implementing Project 30, the Director of the Office, the Chairman of the State Securities Commission, the Director of the Legal Department, the Director of the Information Technology and Financial Statistics Department, and the Heads of related units shall be responsible for implementing this Decision./.
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Distribution: - Prime Minister (for signature) |
THE MINISTER |
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No. |
Name of Administrative Procedure |
Field |
Implementing Authority |
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I. CENTRAL ADMINISTRATIVE PROCEDURES |
|
|
|
|
1 |
Registration of public offering of shares |
State Securities Commission |
State Securities Commission |
|
2 |
Registration of initial public offering of shares by foreign-invested enterprises converting to joint-stock companies |
State Securities Commission |
State Securities Commission |
|
3 |
Registration of initial public offering of shares by foreign-invested enterprises already converted to joint-stock companies |
State Securities Commission |
State Securities Commission |
|
4 |
Registration of public offering of shares by newly established enterprises in infrastructure or high-tech sectors |
State Securities Commission |
State Securities Commission |
|
5 |
Registration of public offering of corporate bonds with guarantees |
State Securities Commission |
State Securities Commission |
|
6 |
Registration of public offering of corporate bonds |
State Securities Commission |
State Securities Commission |
|
7 |
Registration of public offering of convertible bonds, corporate bonds accompanied by warrant rights, or warrant rights accompanied by preferred shares |
State Securities Commission |
State Securities Commission |
|
8 |
Issuance of shares under an employee stock option plan |
State Securities Commission |
State Securities Commission |
|
9 |
Issuance of shares as dividends and issuance of bonus shares |
State Securities Commission |
State Securities Commission |
|
10 |
Registration of public companies |
State Securities Commission |
State Securities Commission |
|
11 |
Registration of tender offers |
State Securities Commission |
State Securities Commission |
|
12 |
Registration to audit organizations issuing securities, listed organizations, and securities business organizations |
State Securities Commission |
State Securities Commission |
|
13 |
Application for a license to establish and operate a securities company |
State Securities Commission |
State Securities Commission |
|
14 |
Application for addition of business activities of securities company |
State Securities Commission |
State Securities Commission |
|
15 |
Application for division, separation, merger, consolidation, and transformation of securities companies |
State Securities Commission |
State Securities Commission |
|
16 |
Request to change the location of the main office, branch, trading office, or representative office of a securities company |
State Securities Commission |
State Securities Commission |
|
17 |
Application to reduce business activities of a securities company |
State Securities Commission |
State Securities Commission |
|
18 |
Application to increase or decrease the charter capital of a securities company |
State Securities Commission |
State Securities Commission |
|
19 |
Application to suspend operations of a securities company |
State Securities Commission |
State Securities Commission |
|
20 |
Application to conduct transactions changing ownership of shares or equity contributions by 10% or more of the charter capital of a securities company |
State Securities Commission |
State Securities Commission |
|
21 |
Request to dissolve a securities company before the due date |
State Securities Commission |
State Securities Commission |
|
22 |
Application to change the legal representative of a securities company |
State Securities Commission |
State Securities Commission |
|
23 |
Request to change the name of a securities company, branch, trading office, or representative office |
State Securities Commission |
State Securities Commission |
|
24 |
Request to close a representative office of a securities company |
State Securities Commission |
State Securities Commission |
|
25 |
Closure of a securities company branch |
State Securities Commission |
State Securities Commission |
|
26 |
Request to close a trading office of a securities company |
State Securities Commission |
State Securities Commission |
|
27 |
Application to establish a representative office of a securities company |
State Securities Commission |
State Securities Commission |
|
28 |
Application to establish a trading room of a securities company |
State Securities Commission |
State Securities Commission |
|
29 |
Establishment of a securities company branch |
State Securities Commission |
State Securities Commission |
|
30 |
Establishment and operation of a representative office of a foreign securities company in Vietnam |
State Securities Commission |
State Securities Commission |
|
31 |
Application for reissue of a securities business practice certificate |
State Securities Commission |
State Securities Commission |
|
32 |
Application for issuance of a securities business practice certificate |
State Securities Commission |
State Securities Commission |
|
33 |
Application for conversion of a securities business practice certificate |
State Securities Commission |
State Securities Commission |
|
34 |
Application for a license to establish and operate a securities investment fund management company |
State Securities Commission |
State Securities Commission |
|
35 |
Report on increase or decrease of charter capital of a securities investment fund management company |
State Securities Commission |
State Securities Commission |
|
36 |
Application for dissolution of fund management company |
State Securities Commission |
State Securities Commission |
|
37 |
Establishment and operation of a representative office of a foreign securities investment fund management company in Vietnam |
State Securities Commission |
State Securities Commission |
|
38 |
Request to change the name of a fund management company |
State Securities Commission |
State Securities Commission |
|
39 |
Application for establishment of branch of fund management company |
State Securities Commission |
State Securities Commission |
|
40 |
Application for closure of branch of fund management company |
State Securities Commission |
State Securities Commission |
|
41 |
Application for temporary suspension of operations of fund management company |
State Securities Commission |
State Securities Commission |
|
42 |
Application for change of main office location, branch, representative office of fund management company |
State Securities Commission |
State Securities Commission |
|
43 |
Request to divide, split, merge, consolidate, or convert a fund management company |
State Securities Commission |
State Securities Commission |
|
44 |
Application for closure of representative office of fund management company |
State Securities Commission |
State Securities Commission |
|
45 |
Application for approval of transactions that change ownership of shares or equity contributions of 10% or more of the subscribed charter capital of fund management company |
State Securities Commission |
State Securities Commission |
|
46 |
Establishment of representative office of fund management company |
State Securities Commission |
State Securities Commission |
|
47 |
Establishment of member fund |
State Securities Commission |
State Securities Commission |
|
48 |
Report on increase or decrease in member fund charter capital |
State Securities Commission |
State Securities Commission |
|
49 |
Registration to establish a public fund |
State Securities Commission |
State Securities Commission |
|
50 |
Registration to offer public fund certificates |
State Securities Commission |
State Securities Commission |
|
51 |
Registration of public offering of shares by a securities investment company |
State Securities Commission |
State Securities Commission |
|
52 |
Registration of securities custody services |
State Securities Commission |
State Securities Commission |
|
53 |
Securities |
State Securities Commission |
State Securities Commission |
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II. OTHER ADMINISTRATIVE PROCEDURES |
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|
|
|
1 |
Registration of securities trading of unlisted securities companies on the Hanoi Stock Exchange |
State Securities Commission |
Hanoi Stock Exchange |
|
2 |
Registration of securities depository members |
State Securities Commission |
Vietnam Securities Depository Center |
|
3 |
Registration of securities trading members on the Ho Chi Minh City Stock Exchange |
State Securities Commission |
Ho Chi Minh City Stock Exchange |
|
4 |
Registration of listing at the Stock Exchange, Trading Center |
State Securities Commission |
Ho Chi Minh City Stock Exchange, Hanoi Stock Exchange |
|
5 |
Registration of government bond trading |
State Securities Commission |
Hanoi Stock Exchange |
|
6 |
Registration for securities trading code (for institutional investors that are investment funds) |
State Securities Commission |
Vietnam Securities Depository Center |
|
7 |
Registration of securities trading code (for investment organizations that are hedge funds) |
State Securities Commission |
Vietnam Securities Depository Center |
|
8 |
Registration of securities trading code (for organizations registering a trading code as an independent business unit separate from the main headquarters; or a subsidiary wholly owned by a multinational economic group that has already been assigned a Trading Code) |
State Securities Commission |
Vietnam Securities Depository Center |
|
9 |
Registration for securities trading code (for individual investors) |
State Securities Commission |
Vietnam Securities Depository Center |
|
10 |
Registration for securities trading code (for institutional investors not belonging to fund types) |
State Securities Commission |
Vietnam Securities Depository Center |
|
11 |
Registration to change the securities company where foreign investors open trading accounts |
State Securities Commission |
Vietnam Securities Depository Center |
|
12 |
Registration to change the custodian member of foreign investors |
State Securities Commission |
Vietnam Securities Depository Center |
|
13 |
Registration of change of transaction representative of foreign investor |
State Securities Commission |
Vietnam Securities Depository Center |
|
14 |
Registration of securities trading members on the Hanoi Stock Exchange (Hanoi Securities Trading Center) |
State Securities Commission |
Hanoi Stock Exchange |
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