This Circular amends the level of fees for the service of asset custody and supervision of closed-end funds, member funds, and securities investment companies from the supervisory bank. The maximum fee rate is 0.15% of the value of supervised assets.
适用范围
[Supervisory Bank; Closed-end Fund, Member Fund, Securities Investment Company]
要点
- Closed-end Funds, Member Funds, Securities Investment Companies → must pay the asset custody and supervision service fee to the Supervisory Bank → with a maximum rate of 0.15% of the value of supervised assets (Article 1).
- The service fee for asset custody and supervision of open-end funds shall be collected based on agreements between the relevant parties (Article 1).
- This Circular takes effect from February 15, 2014 (Article 2).
- Other contents regarding securities business activity fees continue to be implemented according to Circular No. 38/2011/TT-BTC (Article 2).
- The Supervisory Bank is responsible for collecting asset custody and supervision service fees from closed-end funds, member funds, and securities investment companies (Article 1).
🌐 本文件的社会影响
- Increase revenue for the Supervisory Bank in providing asset custody and supervision services.
- Securities service trading organizations must bear additional costs when using these services.
- Ensure transparency and safety in the management of closed-end funds, member funds, and securities investment companies.
❓ 常见问题
What is the maximum fee rate for the service of asset custody and supervision of closed-end funds?
The maximum rate is 0.15% of the value of supervised assets.
Who is the entity collecting the asset custody and supervision service fees from securities trading organizations?
The Supervisory Bank.
When does this Circular take effect?
February 15, 2014.
全文
CIRCULAR
Amending Circular No. 38/2011/TT-BTC dated March 16, 2011 on the level of collection, payment procedures, management, and use of securities trading fees applicable to securities service business organizations
securities trading fees
securities service business organizations
_____________________
Pursuant to the Ordinance on Fees and Charges No. 38/2001/PL-UBTVQH10 dated August 28, 2001;
Pursuant to the Ordinance on Fees and Charges No. 38/2001/PL-UBTVQH10 dated August 28, 2001;
Pursuant to Decree No. 57/2002/NĐ-CP dated June 3, 2002 and Decree No. 24/2006/NĐ-CP dated March 6, 2006 of the Government detailing the implementation of the Ordinance on Fees and Charges;
Pursuant to Decree No. 58/2012/NĐ-CP dated July 20, 2012 of the Government 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 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;
At the proposal of the Director of the Policy Department;
The Minister of Finance issues this Circular amending Circular No. 38/2011/TT-BTC dated March 16, 2011 on the level of collection, payment procedures, management, and use of securities trading fees applicable to securities service business organizations, as follows:
Article 1. Amend Point 5 of the Securities Trading Fee Schedule issued together with Circular No. 38/2011/TT-BTC dated March 16, 2011 on the level of collection, payment procedures, management, and use of securities trading fees applicable to securities service business organizations, as follows:
| Serial Number | Name of fee item | Rate of Collection | Fee Collector | Payor |
| 5 | Service fee for asset custody and monitoring of closed-end funds, fund members, and securities investment companies (Service fee for asset custody and monitoring of open-end funds shall be collected based on agreed prices). | Maximum 0.15% of the value of assets under surveillance. | Supervisory bank. | Closed-end funds, fund members, securities investment companies. |
Article 2. Implementation clause
1. This Circular takes effect from February 15, 2014.
2. Other contents related to securities trading fees applicable to securities service business organizations not mentioned in this Circular shall continue to be implemented according to the provisions of Circular No. 38/2011/TT-BTC dated March 16, 2011 of the Ministry of Finance.
3. In the course of implementation, if there are any difficulties, please report them to the Ministry of Finance for study and guidance./.
DEPUTY MINISTER
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