Circular No. 35/2019/TT-BTC amends and supplements certain provisions of Circular No. 115/2017/TT-BTC dated October 25, 2017 guiding the supervision of securities transactions on the securities market and Circular No. 116/2017/TT-BTC dated October 25, 2017 guiding the Securities Commission's compliance monitoring work regarding securities activities of the Stock Exchange and the Vietnam Securities Depository.

CIRCULAR

AMENDING AND SUPPLEMENTING CERTAIN PROVISIONS OF THE CIRCULAR NO. 115/2017/TT-BTC dated October 25, 2017 guiding supervision of securities trading on the securities market and Circular No. 116/2017/TT-BTC dated October 25, 2017 guiding the work of supervision of compliance by the State Securities Commission with activities in the securities sector of the Stock Exchange and the Vietnam Securities Depository Center

Pursuant to the Securities Law dated June 29, 2006;

Pursuant to the Law Amending and Supplementing Certain Provisions of the Securities Law dated November 24, 2010;

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. 60/2015/NĐ-CP dated June 26, 2015 of the Government amending and supplementing certain provisions of 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. 42/2015/NĐ-CP dated May 5, 2015 of the Government providing for derivative securities and the derivative securities market;

Pursuant to Decree No. 87/2017/NĐ-CP dated July 26, 2017, issued by 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;

The Minister of Finance promulgates this Circular amending and supplementing certain provisions of Circular No. 115/2017/TT-BTC dated October 25, 2017 guiding supervision of securities trading on the securities market and Circular No. 116/2017/TT-BTC dated October 25, 2017 guiding the work of supervision of compliance by the State Securities Commission with activities in the securities sector of the Stock Exchange and the Vietnam Securities Depository Center.

Article 1. Amending and supplementing certain provisions of Circular number

1. Clause 11 Article 4 shall be amended as follows:

"11. At the request of the Ministry of Finance, the State Securities Commission reports to the Ministry of Finance on the results of the work of supervising securities trading."

2. Clause 1 Article 13 shall be amended and supplemented as follows:

"1. Within the first two working days of the following week, the Stock Exchange has the responsibility to send the State Securities Commission a weekly securities trading supervision report, including:

a) Trading orders, results of securities trading on the day; daily information during trading sessions according to Clause 2 Article 33 Circular No. 155/2015/TT-BTC dated October 6, 2015 of the Minister of Finance guiding the disclosure of information on the securities market (hereinafter referred to as Circular No. 155/2015/TT-BTC) in accordance with the content prescribed in Form No. 01 Appendix I attached hereto, except for information related to the open interest of each type of derivative security (OI);

b) Results of the work of supervising securities trading for the week, information on the weight of component stocks in the index to serve the compilation and evaluation of market trends according to the content prescribed in Form No. 02 Appendix I attached hereto."

3. Issued together with this Circular Appendix I - Form No. 02 Weekly Report, replacing Form No. 02 Appendix I issued together with Circular No. 115/2017/TT-BTC dated October 25, 2017 guiding supervision of securities trading on the securities market.

4. Article 21 shall be amended and supplemented as follows:

"Article 21. Periodic Supervision Reports

1. By no later than 16:30 hours on the trading day, the Vietnam Securities Depository Center has the responsibility to send the State Securities Commission the end-of-day open interest information of derivative securities.

2. Within the first ten working days of the following month, the Vietnam Securities Depository Center has the responsibility to send monthly periodic reports to the State Securities Commission including:

- Report on the handling of violations against members (Form No. 06 Appendix II).

- Report supporting member clearing firms that have lost their ability to pay (Form No. 07 Appendix II).

3. The periodic reports prescribed in this Article shall be sent as follows:

- Information on open interest as prescribed in Clause 1 of this Article shall be sent in the form of an electronic data file.

- The periodic reports prescribed in Clause 2 of this Article shall be prepared in the form of a document and an electronic data file (with the application of digital signature software)."

Article 2. Amending and supplementing certain articles of Circular No.

1. Article 10 shall be amended as follows:

"Article 10. Reports of the State Securities Commission

At the request of the Ministry of Finance, the State Securities Commission reports to the Ministry of Finance on the results of the work of supervising compliance according to the contents set out in Chapter II and Chapter III of this Circular."

2. Add a line "other cases" to Table 4.2 on the processing of securities ownership transfer outside the trading system of the Stock Exchange in Appendix II issued together with Circular No. 116/2017/TT-BTC.

3. Add Column 9 "total number of pending cases in the reporting period" to Table 4.3 on the processing of rights exercise in Appendix II issued together with Circular No. 116/2017/TT-BTC.

Article 3. Effectiveness

1. This Circular takes effect from August 1, 2019.

2. During implementation, if there are difficulties or obstacles, they are requested to be promptly reported to the Ministry of Finance for consideration and resolution./.

APPENDIX 01

FORM NO. 02. WEEKLY REPORT

SUPERVISION REPORTAN ||| …/20…..

1. Report on the results of securities trading supervision ...…….

Note:

- Abnormal trading signs: according to the Abnormal Trading Surveillance Criteria System issued by the Stock Exchange.

2. Report on the weight of component stocks in the index

- This table is compiled and reported weekly.