Circular No. 73/2020/TT-BTC amends and supplements certain provisions of Circular No. 134/2017/TT-BTC on guiding electronic transactions on the securities market. This document provides more detailed regulations on device identification information for placing orders, investor authentication methods when conducting transactions, and requirements for storing telephone calls during transactions.
Đối tượng áp dụng
The State Securities Commission, Stock Exchange, Vietnam Securities Depository, and organizations and individuals participating in electronic transactions on the securities market.
Các điểm cốt lõi
- Investors must provide device identification information when conducting online securities transactions (Article 3).
- The securities trading system must integrate solutions using digital certificates and digital signatures provided by public key certificate service providers (Point d Clause 1 Article 6).
- When placing orders via telephone, investors must use registered phone numbers and authentication information that matches the information stored in the trading system (Clause 2 Article 8).
- Each time an online securities transaction is conducted, investors must perform authentication as prescribed herein (Clause 4 Article 8).
- Electronic order forms must be signed with a digital signature or linked to investor authentication information and comply with regulations on electronic transactions (Point 3 Article 9).
🌐 Tác động xã hội từ văn bản này
- Enhance security in online securities transactions, reducing risks for investors.
- Requirements for storing telephone call recordings may create new costs for service providers.
- Facilitate easy inspection and supervision of online securities transactions by regulatory authorities.
❓ Câu hỏi thường gặp
What actions must investors take to verify information when placing orders via telephone?
When placing orders via telephone, investors must use registered phone numbers and provide authentication information that matches the information stored in the trading system (Point 2 Clause 8).
What is device identification information for placing orders?
Device identification information for placing orders is information associated with each device used to identify the device when conducting online securities transactions (Point 7 Article 3).
What requirements are there for call center systems or devices providing telephone trading services?
Call center systems or devices must have functions for recording, managing, and retrieving calls. All investor order placement calls must be recorded and fully stored (Point e Clause 1 Article 6).
What information should an electronic order form include?
An electronic order form must include at least the following information: order number, type of order, account number for placing orders, method of trading, stock code or name, quantity and trading price, trading time (year, month, day, hour, minute), device identification information for placing orders (Point 1 Article 9).
When must investors perform authentication during online securities transactions?
Each time an online securities transaction is conducted, investors must perform authentication as prescribed herein (Point 4 Article 8).
Toàn văn
|
MINISTRY OF FINANCE |
SOCIALIST REPUBLIC OF VIET NAM |
|
NUMBER: 73/2020/TT-BTC |
HA NOI, AUGUST 7, 2020 |
CIRCULAR
AMENDING AND SUPPLEMENTING CERTAIN PROVISIONS OF CIRCULAR NO. 134/2017/TT-BTC DATED DECEMBER 19, 2017 OF THE MINISTER OF FINANCE GUIDING ELECTRONIC TRANSACTIONS ON THE SECURITIES MARKET Securities Law dated June 29, 2006;
On the basis of Law Amending and Supplementing Certain Provisions of the Securities Law dated November 24, 2010; Law on Electronic Transactions dated November 29, 2005;
On the basis of Decree No. 165/2018/NĐ-CP dated December 24, 2018 of the Government stipulating electronic transactions in financial activities;
On the basis of Article 1. Amending and supplementing Level 1 Codes of agencies and organizations prescribed in Decision No. 20/2020/QĐ-TTg dated July 22, 2020 of the Prime Minister on electronic identification codes for agencies and organizations to facilitate data connection and sharing with ministries, sectors, and localities
On the basis of Law on Cybersecurity dated November 19, 2015;
Decree No. Circular No. 134/2017/TT-BTC dated December 19, 2017 of the Minister of Finance guiding electronic transactions on the securities market.
Decree No. Decree No. 87/2017/NĐ-CP dated July 26, 2017 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;
The Minister of Finance issues this Circular amending and supplementing certain Articles of Circular No. AMENDING AND SUPPLEMENTING CERTAIN PROVISIONS OF CIRCULAR NO. 134/2017/TT-BTC DATED DECEMBER 19, 2017 OF THE MINISTER OF FINANCE GUIDING ELECTRONIC TRANSACTIONS ON THE SECURITIES MARKET AS FOLLOWS:
Article 1. 1. AMENDING CLAUSE 7 AND ADDING CLAUSE 14 OF ARTICLE 3 AS FOLLOWS:
Device identification information
“7. is information associated with each device used to identify the device when conducting online securities transactions. An instance of transaction execution
14. is the time when the investor logs into the online securities trading system to execute online securities trading orders.” 2. AMENDING POINT d AND POINT e OF CLAUSE 1 OF ARTICLE 6 AS FOLLOWS:
“d) The online securities trading system must integrate solutions for investors to use digital certificates and digital signatures provided by public key certificate service providers when executing online securities trading orders. The online securities trading system may also integrate additional solutions as prescribed in point a and point c of Clause 1 of Article 8 of this Circular. The implementation and application of digital certificates and digital signatures in securities transactions by investors shall be carried out in accordance with the guidance of the State Securities Commission;
e) Providing telephone trading methods must be equipped with call center systems or devices with recording, management, and retrieval functions. All calls placed by investors to place orders must be recorded and stored fully and must ensure information security and data confidentiality;”
3. AMENDING CLAUSE 2 AND ADDING CLAUSE 4 OF ARTICLE 8 AS FOLLOWS:
“2. When placing orders via telephone, investors must use the phone number for placing orders and provide information for verification as prescribed in point a of Clause 1 of this Article. Trading can only be executed when the information provided by the investor matches the information registered and stored in the online securities trading system.
4. Each time an online securities transaction is executed, the investor must verify according to the provisions of this Article.”
4. AMENDING CLAUSE 1 AND CLAUSE 3 OF ARTICLE 9 AS FOLLOWS:
“1. An electronic order form must contain at least the following information: Order number, type of order, account number for placing orders, method of trading, stock code or name, quantity and price of trading, trading time (year, month, day, hour, minute), device identification information.
3. An electronic order form must be signed with a digital signature or logically combined with the investor's authentication information as prescribed in Article 8 of this Circular and comply with the provisions of legal documents on electronic transactions.”
1. THIS CIRCULAR SHALL TAKE EFFECT FROM OCTOBER 1, 2020.
Article 2. Implementation clause
2. THE STATE SECURITIES COMMISSION, SECURITIES EXCHANGE, VIETNAM SECURITIES DEPOSITORY, AND ORGANIZATIONS AND INDIVIDUALS PARTICIPATING IN ELECTRONIC TRANSACTIONS ON THE SECURITIES MARKET ARE RESPONSIBLE FOR IMPLEMENTING THIS CIRCULAR./.
- Central Steering Committee for Anti-Corruption Office;
|
Place of Receipt: |
DEPUTY MINISTER |
Văn bản gốc (PDF)
Bản đồ quan hệ
Bấm vào một văn bản để mở. Viền đỏ = quan hệ làm thay đổi hiệu lực.
Bản dịch
Văn bản này có sẵn ở các ngôn ngữ sau: