Decision No. 92/2004/QD-BTC of the Ministry of Finance issued the Financial Monitoring Indicators System for Securities Companies and Fund Management Companies, requiring these companies to calculate and report results in accordance with the regulations.
适用范围
Securities companies and fund management companies
要点
- Securities companies and fund management companies → must calculate the monitoring indicators and submit the results to the State Securities Commission as prescribed.
- In case of unusual fluctuations, the companies need to report, explain, and analyze the causes with the State Securities Commission and take timely corrective measures.
- The State Securities Commission → is responsible for analyzing and evaluating the performance of the companies through the Financial Monitoring Indicators System and conducting inspections and supervision in accordance with the provisions of the law.
🌐 本文件的社会影响
- Positive impact: Helps improve the quality of financial management of securities companies and fund management companies, thereby enhancing efficiency in the securities market.
- Negative impact: May impose additional burdens in terms of time and cost on the companies when complying with reporting requirements.
❓ 常见问题
What should securities companies and fund management companies do?
The companies need to calculate the financial monitoring indicators and submit the results to the State Securities Commission as prescribed.
If there are unusual fluctuations, what actions should the companies take?
The companies need to report, explain, and analyze the causes with the State Securities Commission and take timely corrective measures.
What responsibilities does the State Securities Commission have?
The State Securities Commission is responsible for analyzing and evaluating the performance of the companies through the Financial Monitoring Indicators System and conducting inspections and supervision in accordance with the provisions of the law.
When does this decision come into effect?
This decision takes effect 15 days after its publication in the Official Gazette and applies to the fiscal year 2004.
By what date must securities companies and fund management companies submit their annual financial reports?
The specific deadline for securities companies and fund management companies to submit their annual financial reports as prescribed has not been stated in the document.
全文
DECISION OF THE MINISTER OF FINANCE
Regarding the issuance of Financial Monitoring Indicators for Securities Companies and Fund Management Companies
___________________________
THE MINISTER OF FINANCE
Pursuant to Decree No. 77/2003/ND-CP dated July 1, 2003 of the Government on the functions, tasks, powers, and organizational structure of the Ministry of Finance;
Pursuant to Decree No. 144/2003/ND-CP dated November 28, 2003 of the Government on securities and the securities market;
AMENDMENTS AND SUPPLEMENTS TO CERTAIN ARTICLES OF THE REGULATIONS ON SECURITIES REGISTRATION, SAFEKEEPING, NETTING, AND SETTLEMENT ISSUED TOGETHER WITH DECISION NO. 60/2004/QD-BTC DATED JULY 15, 2004 OF THE MINISTER OF FINANCE ARE AS FOLLOWS:
Pursuant to …;
Article 1. Issued together with this Decision is the Financial Monitoring Indicators System for Securities Companies and Fund Management Companies.
Article 2. Securities companies and fund management companies are responsible for calculating the monitoring indicators and submitting the results to the State Securities Commission at the time of annual financial report submission as prescribed.
In case of unusual fluctuations, securities companies and fund management companies must report, explain, and analyze the causes clearly to the State Securities Commission and take timely measures to adjust and rectify.
Article 3. The State Securities Commission is responsible for analyzing and evaluating the performance of securities companies and fund management companies through the Financial Monitoring Indicators System for Securities Companies and Fund Management Companies and conducting inspections and supervision according to the provisions of the law.
Article 4. This Decision takes effect fifteen days from the date of publication in the Official Gazette and shall be applied for the 2004 fiscal year.
Article 5. The Chairman of the State Securities Commission, the Director of the Ministry of Finance's Office, the General Directors (Directors) of securities companies and fund management companies, and the Heads of related units are responsible for implementing this Decision./.
DEPUTY MINISTER
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