THE STATE BANK
OF VIETNAM
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THE SOCIALIST
REPUBLIC OF VIETNAM
Independence - Freedom – Happiness
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No.
10/2024/TT-NHNN
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Hanoi, June 28,
2024
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CIRCULAR
AMENDING CIRCULAR
NO. 22/2018/TT-NHNN DATED SEPTEMBER 05, 2018 OF GOVERNOR OF STATE BANK OF
VIETNAM PROVIDING GUIDANCE ON PROCEDURES AND APPLICATION FOR APPROVAL FOR
RECOMMENDED PERSONNEL LISTS OF COMMERCIAL BANKS, NON-BANK CREDIT INSTITUTIONS
AND FOREIGN BANK BRANCHES
Pursuant to the Law on the State Bank of Vietnam
dated June 16, 2010 (as amended);
Pursuant to the Law on Credit Institutions dated
January 18, 2024;
Pursuant to the Government's Decree No.
102/2022/ND-CP dated December 12, 2022 prescribing functions, tasks, powers and
organizational structure of the State Bank of Vietnam (SBV);
At the request of the Head of the SBV Banking
Supervision Agency;
The Governor of the State Bank of Vietnam
promulgates a Circular providing amendments to the Circular No. 22/2018/TT-NHNN
dated September 05, 2018 of the Governor of the State Bank of Vietnam providing
guidance on procedures and application for approval for recommended personnel
lists of commercial banks, non-bank credit institutions and foreign bank
branches (FBBs).
Article 1. Amendments to Circular No.
22/2018/TT-NHNN dated September 05, 2018 of the Governor of the State Bank of
Vietnam providing guidance on procedures and application for approval for
recommended personnel lists of commercial banks, non-bank credit institutions
and foreign bank branches (hereinafter referred to as “Circular No.
22/2018/TT-NHNN”)
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“2. The written request made by the credit
institution or FBB for SBV’s approval for its recommended personnel list:
a) For a credit institution: The written request
must bear signature of its legal representative.
If the legal representative of a credit institution
is left vacant, the written request will be made by the Board of Directors or
Board of Members and bear the signature of Chairperson of the Board of
Directors or Board of Members. If the legal representative authorizes another
person, or the Chairperson of the Board of Directors or Board of Members
authorizes another member of the Board of Directors or Board of Members, or the
competent representative of the Owner authorizes another person to sign the
written request, such authorization will comply with regulations of law and the
letter of authorization which is made in accordance with law must be included
in the application;
If the legal representative of a credit institution
that is a single-member limited liability company is left vacant or the
Chairperson of the Board of Members of the credit institution is not available
and its Board of Members does not have enough the minimum number of members as
prescribed or only has 01 member, the written request must be signed by the
competent representative of its Owner.
b) For a FBB: The written request must bear
signature of its General Director (or Director). If the General Director (or
Director) authorizes another person to sign the written request, a letter of
authorization which is made in accordance with regulations of law must be
included in the application. If the General Director (or Director) of the FBB
is left vacant, the written request shall be signed by the competent
representative of the foreign bank.
3. The application for approval of recommended
personnel list shall be submitted by credit institution or FBB directly at the
single-window section or by post to the SBV or the relevant SBV’s branch in the
province or central-affiliated city (hereinafter referred to as “SBV’s
provincial branch”) according to their competence prescribed in Article 4 of
this Circular.”.
2. Article 4 of the
Circular No. 22/2018/TT-NHNN is amended as follows:
“Article 4. Authority to approve recommended
personnel lists of credit institutions and FBBs
1. The SBV’s Governor shall consider giving
approval of recommended personnel lists of commercial banks.
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3. The Director of each SBV’s provincial branch
shall consider giving approval of recommended personnel lists of FBBs that are located
in its responsible province or city and subject to its micro-prudential
supervision.”.
3. Article 5a is added
following Article 5 of the Circular No. 22/2018/TT-NHNN as follows:
“Article 5a. Assessment of
compliance with code of professional ethics by persons to be elected or
appointed as members of Board of Directors, Board of Members, Board of
Controllers, and General Director (Director) of credit institutions or FBBs
1. The following persons are considered to have
failed to comply with the code of professional ethics:
a) The person who must, under the inspection
conclusion, assume responsibility for the administrative violation against
regulations on licensing, management and administration, shares/share
certificates, capital contribution, share purchase, credit extension, purchase
of corporate bonds, or prudential ratios for which the violating credit
institution or FBB must incur the highest fine in the fine bracket in
accordance with regulations of law on penalties for administrative violations
in monetary and banking sector;
b) The person who is named in the inspection
conclusion and responsible for the penalties for administrative violations in
monetary and banking sector imposed upon the credit institution or FBB within
06 months from the date of signing of the warning decision, or 01 year from the
date of finishing serving other penalty imposition decision, or 01 year from
the date of expiration of the statute of limitations for serving a penalty
imposition decision;
c) The person who incurs penalties for
administrative violations in monetary and banking sector within 06 months from
the date of signing of the warning decision, or 01 year from the date of
finishing serving other penalty imposition decision, or 01 year from the date
of expiration of the statute of limitations for serving a penalty imposition
decision;
d) The person who must, under the inspection or
audit conclusion, assume personal responsibility for violations against
regulations on licensing, management and administration, shares/share
certificates, capital contribution, share purchase, credit extension, purchase
of corporate bonds, prudential ratios, classification of assets, off-balance
sheet commitments, or establishment and use of provisions for risks for which
the result of implementation of recommended remedial measures is not yet
accepted by competent authorities.
2. For cases other than those specified in clause 1
of this Article, members of the Board of Directors, the Board of Members or the
Board of Controllers, and General Director (or Director) of a credit
institution or FBB must comply with the code of professional ethics issued by
that credit institution or FBB in accordance with SBV’s regulations on internal
control systems of commercial banks, FBBs and non-bank credit institutions,
except cases of application for a new license.”.
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“c) The structure and list of members of the Board
of Directors, Board of Members and Board of Controllers at present time and
after the planned election or appointment by the credit institution (in case of
planned election or appointment of members of the Board of Directors, Board of
Members and Board of Controllers), in which:
(i) For a credit institution that is a
joint-stock company: the quantities of members of the Board of Directors,
independent members, members who are not executives, members that are related
persons, and members of the Board of Controllers must be clearly specified;
(ii) For a credit institution that is a
limited liability company: the quantities of members of the Board of Members
and members of the Board of Controllers must be clearly specified.
d) Written assessment of satisfaction by the
recommended person with standards and eligibility requirements set out in the
Law on Credit Institutions and relevant laws, in which assessment of
satisfaction of each eligibility requirement must be given.”.
5. Clause 7, Clause 8,
Clause 9 and Clause 10 Article 6 of the Circular No. 22/2018/TT-NHNN are
amended as follows:
“7. Documents proving the satisfaction of standards
and eligibility requirements by the personnel recommended as members of the
Board of Directors/Board of Members of the credit institution as prescribed in
point d clause 1 Article 41 of the Law on Credit Institutions. To be specific:
a) Regarding the requirement “have at least 03
years’ experience of working as a manager or executive of the credit
institution”:
(i) The credit institution’s charter containing
provisions on its managers and executives;
(ii) A document, issued by the competent
representative of the credit institution where the recommended person has
worked or is working, confirming the position and tenure of the recommended
person (including confirmation that the recommended person is its manager or
executive) or copies of the documentary evidences of the position and tenure of
the recommended person at the credit institution.
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(i) A copy of the enterprise registration
certificate or another document issued by a competent authority to license,
certify or approve registration of operations of an enterprise;
(ii) The enterprise’s charter containing provisions
on its manager(s) or its internal regulations if the enterprise's charter does
not contain provisions on its manager(s);
(iii) Copies of the financial statements, which
have been duly audited by an independent audit organization, of the enterprise
where the recommended person has acted or is acting as a manager (for cases of
another enterprise whose equity is not smaller than the legal capital of a
credit institution of corresponding type of business);
(iv) A document, issued by the competent
representative of the entity where the recommended person has worked or is
working, confirming the position and tenure of the recommended person
(including confirmation that the recommended person is its manager) or copies
of the documentary evidences of the position and tenure of the recommended
person at this entity.
c) Regarding the requirement “have at least 05
years’ experience of working in a finance, banking, accounting or audit
department”: A document, issued by the competent representative of the entity
where the recommended person has worked or is working, confirming that the
recommended person has worked or is working directly at its finance, banking,
accounting or audit department, and his/her working period at such a
department, or copies of the documentary evidences of working department of the
recommended person and his/her working period at this department.
d) Regarding the requirement “have at least 05
years’ experience of working in a professional department of a credit
institution or FBB”: A document, issued by the competent representative of
the credit institution or FBB where the recommended person has worked or is
working, confirming that the recommended person has worked or is working
directly at its professional department, and his/her working period at this
department, or copies of the documentary evidences of working department of the
recommended person and his/her working period at this department.
8. Documents proving the satisfaction of standards
and eligibility requirements by the person recommended as General Director (or
Director) of the credit institution as prescribed in point c clause 4 Article
41 of the Law on Credit Institutions. To be specific:
a) Regarding the requirement “have at least 05
years’ experience of working as an executive of the credit institution”:
(i) The credit institution’s charter containing
provisions on its executive(s);
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9. Documents proving the satisfaction of standard
or requirement “have at least 03 years’ experience of working directly in
finance, banking, accounting or audit sector” by the person recommended as a
member of the Board of Controllers of the credit institution as prescribed in
point c clause 3 Article 41 of the Law on Credit Institutions: A document,
issued by the competent representative of the entity where the recommended
person has worked or is working, confirming that the recommended person has
worked or is working directly in finance, banking, accounting or audit sector,
and his/her working period in this sector, or copies of the documentary
evidences of working sector of the recommended person and his/her working
period in this sector.
10. With respect to a person to be elected or
appointed in an exceptional case prescribed in point c clause 1 Article 42,
point dd or e clause 2 Article 42 of the Law on Credit Institutions: A document
issued by a competent authority to appoint the recommended person to act as the
representative for the State’s stakes or stakes of an enterprise over 50% of
charter capital of which is held by the State at the credit institution;
appoint, assign or designate the recommended person to engage in the
management, administration and control of the credit institution or credit
institution that is declared bankrupt to fulfill tasks.”.
6. Clause 11 is added
following Clause 10 Article 6 of the Circular No. 22/2018/TT-NHNN as follows:
“11. Documents proving the compliance with “code of
professional ethics”:
a) Assessment and statement of compliance with the
“code of professional ethics” as prescribed in Article 5a and elaborated in Appendix
No. 01 enclosed herewith;
b) Written assessment of the credit institution or
FBB where the recommended person has worked which is made using the form in
Appendix No. 04 enclosed herewith.
Where the recommended person has worked for a
foreign credit institution that does not provide written assessment and
statement of compliance by that recommended person with the “code of
professional ethics”, the owner (for a wholly foreign-owned bank), or parent
bank (for a FBB) or foreign capital-contributing member (for a credit
institution that is a multi-member limited liability company) that submits an
application for SBV’s approval of the recommended personnel list shall provide
a written statement of compliance by the recommended person with the “code of professional
ethics” using the form in Appendix No. 05 enclosed herewith.”.
7. Point b Clause 1 Article
7 of the Circular No. 22/2018/TT-NHNN is amended as follows:
“b) Full name; current position and working place;
ID number or citizen identity card’s number or personal identification number
(for a Vietnamese national) or personal identification number (for a Vietnamese
person who has unknown nationality and is living in Vietnam), or number, date
of issue and issuing authority of passport or another document of equivalent
validity (for a person who does not hold Vietnamese nationality) of the General
Director (or Director) to be appointed;”.
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“3. The documents prescribed in Clauses 3, 5, 6, 8,
11 Article 6 of this Circular.".
9. Article 8 of the
Circular No. 22/2018/TT-NHNN is amended as follows:
“Article 8. Procedures for approval for
recommended personnel lists of credit institutions and FBBs
1. The credit institution or FBB shall prepare and
submit an application as prescribed in Article 6 or Article 7 of this Circular
to the SBV if it is subject to Clause 1 or 2 Article 4 of this Circular or to
the SBV’s provincial branch if it is subject to Clause 3 Article 4 of this
Circular. If the application is unsatisfactory, within 07 working days
from the receipt of the application, the SBV or the SBV Banking Supervision
Agency or the SBV’s provincial branch shall request the credit institution or
FBB in writing to complete it.
2. The credit institution or FBB shall complete its
application at the request of the SBV or the SBV Banking Supervision Agency or
the SBV’s provincial branch within a maximum period of 45 working days from the
date of its receipt of such request. After the aforementioned time limit, the
credit institution or FBB must submit a new application as prescribed in this
Circular to the SBV or the SBV Banking Supervision Agency or the SBV’s
provincial branch for consideration.
3. Within 30 working days from the receipt of a
satisfactory application as prescribed in Article 6 or 7 of this Circular, the
SBV or the SBV Banking Supervision Agency or the SBV’s provincial branch shall
give a document indicating its approval or refusal to give approval of the
recommended personnel list of the credit institution or FBB. If an
application is refused, reasons for such refusal must be included in the
written document given by the SBV or the SBV Banking Supervision Agency or the
SBV’s provincial branch to the credit institution or FBB.”.
10. Article 9 of the
Circular No. 22/2018/TT-NHNN is amended as follows:
“Article 9. Review of satisfaction of standards
and eligibility requirements by personnel
1. Credit institutions and FBBs must review and
assess the satisfaction of standards and eligibility requirements by their
recommended personnel in accordance with regulations of law and assume legal
responsibility for the adequacy, accuracy and truthfulness of their documents
submitted to the SBV.
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Where the recommended person has worked for a
foreign credit institution that does not provide written assessment and
statement of compliance by that recommended person with the “code of
professional ethics”, the owner (for a wholly foreign-owned bank), or parent
bank (for a FBB) or foreign capital-contributing member (for a credit
institution that is a multi-member limited liability company) that submits an
application for SBV’s approval of the recommended personnel list shall provide
a written statement of compliance by the recommended person with the “code of
professional ethics” using the form in Appendix No. 05 enclosed herewith.”.
11. Article 11 of the
Circular No. 22/2018/TT-NHNN is amended as follows:
“Article 11. Notification and reporting
1. The credit institution or FBB shall promptly
notify the SBV in writing of changes related to the satisfaction of standards
and eligibility requirements by the personnel to be elected or appointed that
occur during the SBV’s processing of its application for approval of
recommended personnel list or during the period lasting from the date of issue
of the SBV’s written approval of the recommended personnel list to the date on
which the recommended person is elected or appointed. To be specific:
a) The credit institution or FBB prescribed in
Clause 1 or 2 Article 4 of this Circular shall send such notification to the
SBV Banking Supervision Agency;
b) The FBB prescribed in Clause 3 Article 4 of this
Circular shall send such notification to the SBV’s branch in the province or
city where the FBB is located.
2. Within 10 working days from the day on which
Chairperson and members of the Board of Directors, Chairperson and members of
the Board of Members, Head and members of Board of Controllers and General
Director (or Director) are elected or appointed, the credit institution or FBB
shall send a written notice of the list of elected or appointed persons which
is made using the form in the Appendix 03 enclosed herewith to the SBV in
accordance with provisions of Points a, b Clause 1 of this Article.”.
12. Clause 1 Article 12 of
the Circular No. 22/2018/TT-NHNN is amended as follows:
“1. The SBV Banking Supervision Agency shall take
charge of assessing the satisfaction of application requirements, standards and
eligibility requirements of recommended personnel by credit institutions and
FBBs that are subject to Clauses 1, 2 Article 4 of this Circular in accordance
with regulations of the Law on Credit Institutions and this
Circular; taking opinions from relevant agencies; consolidating and
requesting the SBV’s Governor to grant or refuse to grant written approval of
recommended personnel lists of the commercial banks prescribed in Clause 1
Article 4 of this Circular; granting or refusing to grant written approval of
recommended personnel lists of the non-bank credit institutions or FBBs
prescribed in Clause 2 Article 4 of this Circular.”.
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“4. Within 05 working days from the day on which
the credit institution or FBB sends a written notification to the SBV, as
prescribed in Point a Clause 1 Article 11 of this Circular, of election or
appointment of Chairperson of the Board of Directors or Chairperson of the
Board of Members, or General Director (or Director) to act as its legal
representative as prescribed in its Charter or replacement of its legal
representative; or of appointment of General Director (or Director) of the FBB,
the SBV Banking Supervision Agency shall send a written notification of such
event to the business registration authority of province or central-affiliated
city where the credit institution is headquartered or the FBB is located for
updating the National Enterprise Registration Information System.”.
14. Article 13 of the
Circular No. 22/2018/TT-NHNN is amended as follows:
“Article 13. Responsibilities of SBV’s
provincial branches
1. Within 30 working days from the receipt of a
satisfactory application from a FBB that is subject to Clause 3 Article 4 of
this Circular, the relevant SBV’s provincial branch shall assess the
satisfaction of application requirements, standards and eligibility
requirements of recommended personnel by the FBB in accordance with regulations
of the Law on Credit Institutions and this Circular; take opinions from
relevant agencies; grant or refuse to grant written approval of the recommended
personnel list of the FBB.
2. Each SBV’s provincial branch shall give its
written opinions (using the form in Appendix No. 06 enclosed herewith) at the
request of the SBV Banking Supervision Agency within 05 working days from its
receipt of such request.
3. SBV’s provincial branches shall receive
notifications from FBB as prescribed in Clause 1 Article 11 of this Circular;
consider the satisfaction of standards and eligibility requirements by
recommended personnel or propose solutions therefor.
4. SBV’s provincial branches shall receive and
review notifications of FBBs as prescribed in Clause 2 Article 11 of this
Circular. If any error is found, the SBV’s provincial branch shall
request the FBB to correct it or propose error correction measures to the SBV’s
Governor if the error falls beyond its authority.
5. Within 05 working days from the day on which the
FBB sends a written notification to the SBV, as prescribed in Point b Clause 1
Article 11 of this Circular, of its appointment of General Director (or
Director), the SBV’s provincial branch shall send a written notification of
such event to the business registration authority of province or central-affiliated
city where the FBB is located for updating the National Enterprise Registration
Information System.”.
Article 2. Replacement and addition of some
Appendixes of Circular No. 22/2018/TT-NHNN
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2. Appendixes 04, 05 and 06 are added following
Appendix 03 enclosed with the Circular No. 22/2018/TT-NHNN.
Article 3. Responsibility for implementation
Chief of Office, head of the SBV Banking
Supervision Agency, heads of SBV’s affiliated units, Directors of SBV’s
provincial branches, credit institutions and FBBs are responsible for the
implementation of this Circular.
Article 4. Effect
1. This Circular comes into force from July 01,
2024.
2. Clauses 1, 2, 7, 8, 9, 10, and 12 Article 2 of
the Circular No. 13/2019/TT-NHNN dated August 21, 2019 of the Governor of
the State Bank of Vietnam providing amendments to Circulars on licensing,
organization and operation of credit institutions and foreign bank branches are
abrogated.
3. The Circular No. 13/2020/TT-NHNN dated November
13, 2020 of the Governor of the State Bank of Vietnam providing amendments to
the Circular No. 22/2018/TT-NHNN is abrogated.
4. Article 8 of the Circular No. 24/2023/TT-NHNN
dated December 29, 2023 of the Governor of the State Bank of Vietnam providing
amendments to Circulars on submission, presentation and provision of
information and documents on population upon carrying out administrative procedures
related to establishment and operation of banks is abrogated./.
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PP. GOVERNOR
DEPUTY GOVERNOR
Doan Thai Son
APPENDIX NO. 01
(Enclosed with
the Circular No. 10/2024/TT-NHNN dated June 28, 2024 of the Governor of the
State Bank of Vietnam providing amendments to the Circular No. 22/2018/TT-NHNN
dated September 05, 2018 of the Governor of the State Bank of Vietnam on
procedures and application for approval for recommended personnel lists of
commercial banks, non-bank credit institutions and foreign bank branches)
SOCIALIST
REPUBLIC OF VIETNAM
Independence – Freedom – Happiness
-----------------------
Color photo (4x6)
(fan stamped by certifying authority)
CURRICULUM
VITAE(1)
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- Full name (according to birth certificate).
- Common name.
- Alias.
- Date of birth.
- ID number or citizen identity card’s number or
personal identification number, current residence (if different from registered
place of permanent/temporary residence) (for a Vietnamese national) or personal
identification number (for a Vietnamese person who has unknown nationality and
is living in Vietnam).
- Number of passport or another document of
equivalent validity, date of issue, issuing authority, nationality(ies), and
current residence (for a person who does not hold Vietnamese nationality).
- Name and address of the juridical person for
which the declarant acts as a representative, and ratio of contributed capital
(in case the declarant is a representative for shares/stakes of a shareholder
or capital-contributing member that is a juridical person, or is appointed as a
representative for State stakes in a credit institution).
2. Level of education
- General education.
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3. Working experience:
- Occupations, working places, and job positions
(from 18 years old to present) (2).
No.
Period (from……
(month/year) to……. (month/year)) (3)
Working place
Job position(4)
Business lines of
employer and in-charge tasks
Notes(5)
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- Commendations, disciplines or responsibility, as
specified in the inspection authority’s report, for administrative violations
committed by the credit institution or foreign bank branch (6).
4. Legal capacity(7)
4a. Information about prohibition from holding
certain positions, establishment and management of enterprises/cooperatives (if
not specified in criminal record or another document of equivalent validity
issued by a foreign competent authority).
5. Declarant’s commitments
I hereby declare that:
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- I do not violate regulations and laws in monetary
and banking sector.
- I will promptly inform the credit
institution/foreign bank branch of any changes in my statements provided herein
that occur during the consideration by the State Bank of the application
submitted by.............. (name of the credit institution/foreign bank
branch).
- All personal information I provided for the
credit institution/foreign bank branch to be included in their application for
approval of the recommended personnel list is truthful. I shall assume legal
responsibility for the adequacy, truthfulness and accuracy of the information
provided herein.
…. [place &
date]
Declarant’s signature and full name
(signature and full name)(8)
Notes:
1. The declarant must fully declare information
as requested and assume responsibility before the law and the credit
institution/foreign bank branch for the adequacy, truthfulness and accuracy of
the information. In case of unavailability of information, the word “None” must
be specified.
2. Information about all the occupations,
working places and job positions that the declarant has held or is taking
charge of must be fully declared.
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4. This information must be clearly stated if
the recommended person is a manager or executive as prescribed by law and the
Charter of the credit institution or enterprise.
5. Information must be provided if the declarant
has worked for:
a) A subsidiary of the credit institution;
b) An enterprise over 50% of charter capital of
which is held by the State;
c) An entity prescribed in Point e Clause 2
Article 42 of the Law on Credit Institutions;
d) An entity prescribed in Point c Clause 1
Article 42 of the Law on Credit Institutions (name of the entity, time when it
is declared bankrupt, job position and working period of the declarant at this
entity must be clearly specified);
6. Information must be clearly specified if the
declarant is subject to Points d, g Clause 1 Article 42 of the Law on Credit
Institutions.
7. Whether the declarant has “full legal
capacity”, “limited legal capacity” or is “incapacitated” must be clearly
stated.
8. The declarant’s signature must be certified
as prescribed by law.
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APPENDIX NO. 02
(Enclosed with
the Circular No. 10/2024/TT-NHNN dated June 28, 2024 of the Governor of the
State Bank of Vietnam providing amendments to the Circular No. 22/2018/TT-NHNN
dated September 05, 2018 of the Governor of the State Bank of Vietnam on
procedures and application for approval for recommended personnel lists of
commercial banks, non-bank credit institutions and foreign bank branches)
SOCIALIST
REPUBLIC OF VIETNAM
Independence – Freedom – Happiness
-----------------------
DECLARATION OF
RELATED PERSONS
To: The
State Bank of Vietnam (SBV)
No.
Declarant and his/her “related person”
Relationship with the declarant(1)
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Position at the applying credit institution
Position at the subsidiary of the applying credit
institution
Ratio of shares or stakes for which the declarant
acts as a representative at the applying credit institution (%)
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1
Nguyen Van A
Declarant
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2
Nguyen Thi B
Wife
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…
I hereby declare that all the information provided
herein is truthful. I shall assume legal responsibility for the adequacy,
truthfulness and accuracy of the information provided herein.
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…. [place &
date]
Declarant
(Signature and full name)(2)
Notes:
(1) This column will be filled in based on the
actual relationship with the related person mentioned in column (2) which falls
in one of the cases specified in Clause 24 Article 4 and Clause 3 Article 69 of
the Law on Credit Institutions. The declarant must fully declare information as
requested and assume responsibility before the law and the credit
institution/foreign bank branch for the adequacy, truthfulness and accuracy of
the information. In case of unavailability of information, the word “None” must
be specified. If the related person has passed award, the word “deceased” must
be specified.
(2) The declarant’s signature must be certified
as prescribed by law.
(In addition to the compulsory information
herein, the declarant may also provide additional information if necessary).
APPENDIX NO. 03
(Enclosed with
the Circular No. 10/2024/TT-NHNN dated June 28, 2024 of the Governor of the
State Bank of Vietnam providing amendments to the Circular No. 22/2018/TT-NHNN
dated September 05, 2018 of the Governor of the State Bank of Vietnam on
procedures and application for approval for recommended personnel lists of
commercial banks, non-bank credit institutions and foreign bank branches)
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NOTICE
List of
persons elected or appointed as members of the Board of Directors, the Board of
Members, the Board of Controllers, and General Director (Director)
To: …………………………..
Based on the list of persons elected or appointed
as members of the Board of Directors, the Board of Members, the Board of
Controllers, and General Director (Director) which has been approved by the
State Bank under the document No……………….. dated…………., ………………………………. (name of the
credit institution/foreign bank branch) has followed personnel election or
appointment procedures as prescribed by laws.
……………………………………. (name of the credit
institution/foreign bank branch) hereby informs the State Bank of our personnel
election or appointment results and also provides information about our
election or appointment of Chairperson of the Board of Directors or Board of
Members, General Director (Director) acting as the legal representative as
prescribed in the Charter of the credit institution or replacement of the legal
representative, or information about our appointment of General Director
(Director) (for a foreign bank branch) as follows:
1. Board of Directors/Board of Members
(tenure:…….)
a) Personnel election or appointment results:
No.
Full name
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Voting result of
the General Meeting of Shareholders (if the credit institution is a
joint-stock company)
Resolution/Decision
on personnel election or appointment (*)
Information on
legal representative(3)
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2. Board of Controllers (tenure:….)
a) Personnel election or appointment results:
No.
Full name
Elected or
appointed position(2)
Voting result of
the General Meeting of Shareholders (if the credit institution is a
joint-stock company)
Resolution/Decision
on personnel election or appointment (*)
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b) Structure of the Board of Controllers as
prescribed in Article 44 of the Law on Credit Institutions, in which
full-time/part-time members of the Board of Controllers must be clearly
specified.
3. General Director (Director):
No.
Full name
Appointment
decision (*)
Information on
legal representative(3)
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……[place &
date]
Lawful representative of the credit institution/foreign bank branch
(signature, full name and seal)
Notes:
1. Clearly specify the position of Chairperson
or member of the Board of Directors/Board of Members, or independent member of
the Board of Directors.
2. Clearly specify the position of the head or
member of the Board of Controllers (full-time/part-time).
(*) Clearly specify the type, number, date of
issue and effect of the document must be specified, and provide a copy of the
document.
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(In addition to the compulsory information
herein, the credit institution/foreign bank branch may also provide additional
information if necessary)
APPENDIX NO. 04
(Enclosed with
the Circular No. 10/2024/TT-NHNN dated June 28, 2024 of the Governor of the
State Bank of Vietnam providing amendments to the Circular No. 22/2018/TT-NHNN
dated September 05, 2018 of the Governor of the State Bank of Vietnam on
procedures and application for approval for recommended personnel lists of
commercial banks, non-bank credit institutions and foreign bank branches)
[NAME OF THE
CREDIT INSTITUTION]
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THE SOCIALIST
REPUBLIC OF VIETNAM
Independence - Freedom – Happiness
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No. …….
…….[place &
date]
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To: ……………………………….
- Pursuant to the Law on Credit Institutions No.
32/2024/QH15 dated January 18, 2024;
- Pursuant to the Circular No. 22/2018/TT-NHNN
dated September 05, 2018 of the Governor of the State Bank of Vietnam providing
guidance on procedures and application for approval for recommended personnel
lists of commercial banks, non-bank credit institutions and foreign bank
branches (as amended);
Pursuant to the Circular No……………… dated…………….. of
the Governor of the State Bank of Vietnam prescribing internal control system
of………….
- At the request of………………… [name of the recommended
personnel or the credit institution/foreign bank branch];
Pursuant to the code of professional ethics issued
by………………, …………………………….[name of the credit institution/foreign bank branch]
hereby provides information on the compliance with the code of professional
ethics by the following personnel during their employment at this credit
institution/foreign bank branch, including:
I. Particulars of personnel
1. Name of the first person
1.1. Working period: (From month/year………. to
month/year………).
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2. Name of the second person:
…
II. Information on compliance with code of
professional ethics
Based on our internal regulations and supervision
by senior executives and the Board of Controllers, ………………………………………….. [name of
the credit institution/foreign bank branch] gives assessment of the compliance
with the code of professional ethics by the personnel named in Part I hereof as
follows:
1. Name of the first person:
1.1. Details of assessment comply with clause 1
Article 5a of the Circular No. 22/2018/TT-NHNN (as amended)
1.2. This person has complied/failed to comply with
the code of professional ethics.
In case of non-compliance, the violation,
disciplinary action and implementation period.
2. Name of the second person:
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III. ………………………………………….. [name of the credit
institution/foreign bank branch] hereby covenants to assume legal
responsibility for the accuracy and truthfulness of the information provided
herein./.
LAWFUL
REPRESENTATIVE OF THE CREDIT INSTITUTION/FOREIGN BANK BRANCH
(signature and seal)
APPENDIX NO. 05
(Enclosed with
the Circular No. 10/2024/TT-NHNN dated June 28, 2024 of the Governor of the
State Bank of Vietnam providing amendments to the Circular No. 22/2018/TT-NHNN
dated September 05, 2018 of the Governor of the State Bank of Vietnam on
procedures and application for approval for recommended personnel lists of
commercial banks, non-bank credit institutions and foreign bank branches)
[NAME OF
FOREIGN CREDIT INSTITUTION]
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…….[place &
date]
STATEMENT OF
COMPLIANCE WITH CODE OF PROFESSIONAL ETHICS BY PERSONNEL TO BE ELECTED OR
APPOINTED AT CREDIT INSTITUTION/FOREIGN BANK BRANCH
To: …………………………
- Pursuant to the Law on Credit Institutions No.
32/2024/QH15 dated January 18, 2024;
- Pursuant to the Circular No. 22/2018/TT-NHNN
dated September 05, 2018 of the Governor of the State Bank of Vietnam providing
guidance on procedures and application for approval for recommended personnel
lists of commercial banks, non-bank credit institutions and foreign bank
branches (as amended);
…………[name of the foreign credit institution]
hereby provides information on the compliance with the code of professional
ethics by the recommended personnel during their employment with us as follows:
I. Particulars of personnel
1. Name of the first person
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1.2. Job position or assigned task: from
month/year………. to month/year……… (in case of a manager or executive of the
credit institution, this information must be clearly specified)
2. Name of the second person:
…
II. Information on compliance with code of
professional ethics
Based on standards and eligibility requirements for
holding the position of manager or executive of credit institutions of the home
country, the foreign credit institution assesses and provides statement on the
compliance by the abovementioned personnel with the code of professional ethics
as prescribed in Clause 1 Article 5a of the Circular No. 22/2018/TT-NHNN (as
amended) during their employment as stated in Part I hereof.
III. ………………………………………….. [name of the foreign
credit institution] hereby covenants to assume legal responsibility for the
accuracy and truthfulness of the information provided herein./.
LAWFUL
REPRESENTATIVE OF THE CREDIT INSTITUTION
(signature and seal)
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APPENDIX NO. 06
(Enclosed with
the Circular No. 10/2024/TT-NHNN dated June 28, 2024 of the Governor of the
State Bank of Vietnam providing amendments to the Circular No. 22/2018/TT-NHNN
dated September 05, 2018 of the Governor of the State Bank of Vietnam on
procedures and application for approval for recommended personnel lists of
commercial banks, non-bank credit institutions and foreign bank branches)
THE STATE BANK OF
VIETNAM
BRANCH:…………..
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THE SOCIALIST
REPUBLIC OF VIETNAM
Independence - Freedom – Happiness
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No. ……Re:
provision of information serving assessment of standards of recommended
personnel
............
…….[place &
date]
To: The SBV Banking
Supervision Agency
In response to the Document No…………… dated……………. of
the SBV Banking Supervision Agency regarding…………………, the SBV’s branch of……………….
hereby provides information obtained during our performance of inspection and
supervision tasks as follows:
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1. First person
1.1. Details of assessment comply with clause 1
Article 5a of the Circular No. 22/2018/TT-NHNN (as amended) which must include
the following as a minimum:
- Personal responsibility (if any) of the
recommended person for the administrative penalty incurred the credit
institution/branch of the credit institution (if the highest fine in the fine
bracket is imposed, this must be clearly specified);
- Decision on imposition of administrative penalty
upon the recommended person (if any).
1.2. Other information on compliance with
regulations on standards and eligibility requirements to be satisfied by
recommended personnel (if any).
(If any administrative penalty is imposed,
penalty imposition decision or record and relevant documents must be provided).
2. Second person:….
…
II. Detailed information as requested by the
contact point (if any)
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1. Name of the first person: Give assessment of
whether the recommended person satisfies standards and eligibility requirements
on the basis of the information in Part I hereof.
In case the recommended person is considered not to
satisfy such standards and eligibility requirements, reasons therefor must be
specified.
2. Name of the second person: Give assessment of
whether the recommended person satisfies standards and eligibility requirements
on the basis of the information in Part I hereof.
In case the recommended person is considered not to
satisfy such standards and eligibility requirements, reasons therefor must be
specified.
…
The information and assessment of the recommended
personnel………… given herein by the SBV’s branch of……………. are aimed at serving
the SBV Banking Supervision Agency’s information consolidation and reporting./.
DIRECTOR
(signature and seal)
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