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MINISTRY OF
FINANCE
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SOCIALIST
REPUBLIC OF VIETNAM
Independence – Freedom – Happiness
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No.:
101/2021/TT-BTC
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Hanoi, November
17, 2021
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CIRCULAR
PRESCRIBING
PRICES OF SECURITIES SERVICES APPLIED IN STOCK EXCHANGES AND VIETNAM SECURITIES
DEPOSITORY AND CLEARING CORPORATION
Pursuant to the Law on Securities dated November
26, 2019;
Pursuant to the Law on Fees and Charges dated
November 25, 2015;
Pursuant to the Law on Pricing dated June 20,
2012;
Pursuant to the Law on Public Debt Management
dated November 23, 2017;
Pursuant to the Law on environmental protection
dated November 17, 2020;
Pursuant to the Law on management and use of
state capital invested in manufacturing and business operations of enterprises
dated November 26, 2014;
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Pursuant to the Government's Decree No.
155/2020/ND-CP dated December 31, 2020 on elaboration of some Articles of the
Law on Securities;
Pursuant to the Government’s Decree
No. 158/2020/ND-CP dated December 31, 2020 on derivatives and derivative
market;
Pursuant to the Government’s Decree No.
91/2018/ND-CP dated June 26, 2018 on issuance and management of government
guarantee;
Pursuant to the Government’s Decree No. 93/2018/ND-CP
dated June 30, 2018 prescribing provincial-government debt management;
Pursuant to the Government’s Decree No.
95/2018/ND-CP dated June 30, 2018 prescribing issuance, registration,
depositing, listing and trading of government debt instruments on securities
market;
Pursuant to the Government’s Decree No.
91/2015/ND-CP dated October 13, 2015 on state capital investment in
enterprises, use and management of capital and assets in enterprises; the
Government’s Decree No. 126/2017/ND-CP dated November 16, 2017 on conversion of
state-owned enterprises and single-member limited liability companies wholly
owned by state-owned enterprises into joint-stock companies; the Government’s
Decree No. 32/2018/ND-CP dated March 08, 2018 providing amendments to Decree
No. 91/2015/ND-CP dated October 13, 2015; the Government’s Decree No.
140/2020/ND-CP dated November 30, 2020, providing amendments to the Decree No.
126/2017/ND-CP dated November 16, 2017, the Decree No. 91/2015/ND-CP dated
October 13, 2015 and Decree No. 32/2018/ND-CP dated March 08, 2018;
Pursuant to the Government’s Decree No.
87/2017/ND-CP dated July 26, 2017 defining functions, tasks, powers and
organizational structure of the Ministry of Finance;
At the request of the Director of Department of Price
Management and the Chairman of State Securities Commission of Vietnam (SSC);
The Minister of Finance promulgates a Circular
prescribing prices of securities services applied in Stock Exchanges and
Vietnam Securities Depository and Clearing Corporation.
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This Circular provides regulations on prices of
securities applied in Vietnam Exchange, Hanoi Stock Exchange (HNX) and Ho Chi
Minh Stock Exchange (HOSE) (hereinafter referred to as “SE”) and Vietnam
Securities Depository and Clearing Corporation (hereinafter referred to as
“VSDC”) in accordance with regulations of law.
Article 2. Regulated entities
1. Securities service
providers prescribed in this Circular, including: SEs and VSDC established and
operating in Vietnam.
2. Users of securities
services rendered by the service providers mentioned in Clause 1 of this
Article, including: SE’s members; VSDC’s members, applicants for listing,
listed organizations, securities investment fund management companies, issuers,
direct account holders at VSDC, organizations or individuals transferring their
securities ownership without using the SE’s trading system, State Treasury,
issuers of government-backed bonds as prescribed in the Law on public debt
management, Provincial People's Committees that issue municipal bonds.
3. Other relevant
organizations and individuals.
Article 3. Prices of securities
services rendered by SEs and VSDC
1. The prices of securities
services rendered by SEs and VSDC are elaborated in the Price Schedule and the
Appendix enclosed herewith.
2. Prices of securities
services prescribed herein are not subject to value-added tax in accordance
with regulations of the Law on value-added tax and its amendments (if any).
3. SEs and VSDC shall
themselves decide the prices of their services which are not specified in the
Price Schedule enclosed herewith in conformity with their provision of such
services and in accordance with regulations of the Law on pricing, the Law on
securities and relevant laws, and shall assume responsibility for their
decision.
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5. Trading service price
payable by market makers may be reduced by up to 80% of the corresponding price
specified in Point 4 Section II Part A of the Price Schedule and up to 70% of
the corresponding price specified in Point 3 Section II Part B of the Price
Schedule after they have fulfilled their market-making obligations in
accordance with regulations of law and specific requirements imposed by
competent authorities.
6. Listing service price in
Point 2 Section II Part A of the Price Schedule, price of securities listing
management in Point 3 Section II Part A of the Price Schedule, trading service
price in Point 4 Section II Part A of the Price Schedule, price of securities
registration/partial securities deregistration in Point 12 Section III Part A
of the Price Schedule and securities depository service price in Point 13 Section
III Part A of the Price Schedule enclosed herewith charged to issuers and
buyers of green bonds as prescribed in the Law on Environmental Protection and
its guiding documents shall be reduced by 50%.
Article 4. Payment of
securities service prices
1. In case an organization
applies for re-registration of membership of the SE, it shall pay the same
prices of derivatives trading member registration service, member management
service, derivatives trading member management service, periodical connection
maintenance service, and terminal device user service as a new member, except
the case of member registration specified in Point b Clause 10 Article 310 of
the Government’s Decree No. 155/2020/ND-CP dated December 31, 2020.
If an organization applies for re-registration as a
depository member or clearing member of VSDC, it shall pay the same prices of
depository member management service, clearing member management service,
derivatives clearing member management service, clearing member registration
service and derivatives clearing member registration service as a new member.
2. If the SE suspends trading
membership or trading activities or online connection of its member for a
period lasting until the following year without cancelling its membership, this
member shall still pay prices of member management service, derivatives trading
member management, periodical connection maintenance service, and terminal
device user service for the following year.
In case VSDC suspends its provision of depository,
clearing and settlement services for its member, or a member of VSDC has its
depository, clearing and settlement activities suspended by VSDC for a period
lasting until the following year without cancelling their membership, such
member shall still pay prices of depository member management service, clearing
member management service or derivatives clearing member management service for
the following year.
3. If the SE suspends trading
membership or trading activities or online connection to serve the cancellation
of membership of its member within the same year, this member shall not pay
prices of member management service, derivatives trading member management,
periodical connection maintenance service, and terminal device user service for
the following years.
In case VSDC suspends its provision of depository,
clearing and settlement services for its member, or a member of VSDC has its
depository, clearing and settlement activities suspended by VSDC in order to
follow procedures for cancellation of their membership within the same year,
such member shall not pay prices of depository member management service,
clearing member management service or derivatives clearing member management
service for the following years.
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Article 5. Time limits for
collection or refund of securities service prices
1. With regard to services
charged annually as prescribed in the Price Schedule enclosed herewith, service
users shall make payments to SEs or VSDC by January 31 every year.
2. With regard to services
charged monthly as prescribed in the Price Schedule enclosed herewith, service
users shall make payments to SEs or VSDC by the 15th of the
following month.
3. An organization that
applies for registration as a new member of the SE or VSDC and applies for the
first listing shall pay prices of registration service for derivatives trading
member, member management service, derivatives trading member management service,
initial online connection service, periodical connection maintenance service,
terminal device user service, registration service as clearing member,
registration service for derivatives clearing member, depository member
management service, clearing member management service, derivatives clearing
member management service, listing registration service, and listing management
service within 05 (five) business days after the SE issues a Decision to grant
trading membership, Decision to approve connection for online trading, Decision
on approval of listing, or Decision to approve connection for remote trading,
or after VSDC issues a Certificate of depository membership, clearing
membership or derivatives clearing membership.
4. The SE or VSDC shall refund
the collected charges on member management service, derivatives trading member
management service, periodical connection maintenance service, terminal device
user service, depository member management service, clearing member management
service or derivatives clearing member management service to its member within
05 (five) business days after the SE issues a Decision to cancel membership or
VSDC issues a Decision to revoke certificate of membership or to cancel
membership.
5. The SE shall collect
additional charges or refund overpaid charges on listing management service to
the listed organization or the fund management company within 07 (seven)
business days after the SE issues a Decision to approve changes in listing or
notifies changes in quantity of listed securities, or from the effective date
of delisting.
6. In case of transfer of
listed shares from HNX to HOSE before or according to the schedule prescribed
in the Minister of Finance’s Circular No. 57/2021/TT-BTC dated July 12, 2021
introducing roadmap for reorganization of markets for shares, bonds,
derivatives and other securities (hereinafter referred to as “Circular No.
57/2021/TT-BTC”), HNX shall calculate charges on listing management service
actually rendered and transfer the remaining amounts of collected service
charges to HOSE from the date of suspension of trading of shares to be
transferred to HOSE, and HOSE shall not charge on the initial application for
listing of such transferred shares.
In case of transfer of listed bonds from HOSE to HNX
according to the roadmap prescribed in the Circular No. 57/2021/TT-BTC, HNX
shall not charge on the initial application for listing of such transferred
bonds.
Article 6. Management and use
of revenues from provision of securities services
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2. VSDC shall consider
allocating its revenues from provision of securities ownership transfer service
as prescribed in Point 17 (excluding Point 17.1c and 17.4) Section III Part A
of the Price Schedule enclosed herewith to SEs according to terms and
conditions of the signed service contracts provided that the amount allocated
to the SE shall not exceed 50% of total revenue earned from the provision of
ownership transfer service of securities listed or registered for trading on
the SE.
3. SEs and VSDC shall consider
extending the payment deadline or take actions against the service users who
make late payments or fail to fully pay service charges.
4. SEs and VSDC shall issue
invoices when receiving payments of service prices in accordance with
regulations of law.
Article 7. Implementation
1. This Circular comes into
force from January 01, 2022 and supersedes the following Circulars: The
Minister of Finance’s Circular No. 127/2018/TT-BTC dated December 27, 2018, the
Minister of Finance’s Circular No. 14/2020/TT-BTC dated March 18, 2020, the
Minister of Finance’s Circular No. 70/2020/TT-BTC dated July 17, 2020, and the
Minister of Finance’s Circular No. 30/2021/TT-BTC dated May 14, 2021.
2. Before the official
inauguration date of VSDC prescribed in the Law on Securities No. 54/2019/QH14,
regulations on prices of securities services applied to VSDC laid down herein
shall apply to Vietnam Securities Depository.
VSDC shall continue applying the price of position
management service prescribed in Clause 6 Section II Part B of the Price
Schedule in Article 1 of the Circular No. 14/2020/TT-BTC dated March 18, 2020
of the Minister of Finance until VSDC officially provides clearing and
settlement services using the new securities market information technology
system. After this time, the price of derivatives clearing service specified in
Clause 6 Section II Part B of the Price Schedule enclosed herewith shall apply.
3. SEs and VSDC shall neither
refund nor collect the difference between the service price collected before
the effective date of this Circular and that payable in accordance with
regulations of this Circular.
4. Difficulties that arise
during the implementation of this Circular should be promptly reported to the
Ministry of Finance for consideration./.
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PP. MINISTER
DEPUTY MINISTER
Ta Anh Tuan
SCHEDULE
OF PRICES OF SECURITIES SERVICES APPLIED IN STOCK EXCHANGES AND VIETNAM
SECURITIES DEPOSITORY AND CLEARING CORPORATION
(Enclosed with
the Circular No. 101/2021/TT-BTC dated November 17, 2021 of the Minister of
Finance)
A. PRICES OF SERVICES RENDERED
ON UNDERLYING SECURITIES MARKET
No.
NAME OF SERVICE
PRICE
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PAYMENT TIME
LIMIT
SCOPE OF
APPLICATION
I
PRICES OF SERVICES
RENDERED BY VIETNAM EXCHANGE (VNX)
1
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VND 20 million/ year
SE’s members
Annually
Applied to all members regardless of membership
levels on each specific market (shares, bonds, fund certificates or covered
warrants)
II
PRICES OF SERVICES
APPLIED IN HANOI STOCK EXCHANGE (HNX) AND HO CHI MINH STOCK EXCHANGE (HOSE)
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2
Listing registration
2.1
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a
For shares, corporate bonds, investment fund
certificates and debt instruments as prescribed in the Law on Public Debt
Management
VND 10 million
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Within 05 business days after the SE issues a
Decision to approve listing (lump-sum payment)
This regulation does not apply to government debt
instruments, government-backed bonds, municipal bonds and applicants for
trading on UPCOM
b
For covered warrants
VND 5 million
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2.2
Changes in listing
a
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VND 5 million/ application for changes in listing
Listed organizations; fund management companies
having fund certificates listed
Within 07 business days after the SE issues a
Decision to approve changes in listing
This regulation does not apply to government debt
instruments, government-backed bonds, municipal bonds, applicants for trading
on UPCOM and cases of changes in listing as a result of ETF exchange
transactions.
b
For covered warrants
VND 2 million/ application for changes in listing
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3
Listing management service
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3.1
For shares (value of listed shares is calculated
according to the face value)
Listed organizations
Annually
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Listed value is less than VND 100 billion
VND 15 million
b
Listed value is from VND 100 billion to under VND
500 billion
VND 20 million
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Listed value is VND 500 billion or above
VND 20 million + 0,001% of the value of listed
shares provided total amount payable shall not exceed VND 50 million
3.2
For corporate bonds, investment fund certificates
(excluding ETFs), debt instruments as defined in the Law on Public Debt Management
(listed value is calculated according to the face value)
Listed organizations; fund management companies
having fund certificates listed
Annually
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a
Listed value is less than VND 80 billion
VND 15 million
b
Listed value is from VND 80 billion to under VND
200 billion
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c
Listed value is VND 200 billion or above
VND 20 million + 0,001% of the listed value
provided that total amount payable shall not exceed VND 50 million
3.3
For ETFs
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Fund management companies having fund
certificates listed
Annually
3.4
For covered warrants
VND 1 million/ month
Issuers of covered warrants
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4
Trading service
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4.1
Outright transactions
SE’s members
Monthly payment which must be made by the 15th
day of the following month
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Shares and listed investment fund certificates
(excluding ETFs)
0,027% of trading value
b
Listed ETFs
0,018% of trading value
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c
Corporate bonds
0,0054% of trading value
d
Debt instruments as defined in the Law on Public
Debt Management
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dd
Shares registered for trading on UPCOM
0,018% of trading value
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Covered warrants
0,018% of trading value
4.2
Repurchase transactions (or repo) in debt
instruments as defined in the Law on Public Debt Management
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a
Of a term up to 2 days
0,00035% of trading value
b
Of a term of 3 - 14 days
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c
Of a term of more than 14 days
0,0042% of trading value
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Sell/buy-back transactions in debt instruments as
defined in the Law on Public Debt Management
0,0042% of trading value
4.4
Borrowing and lending of debt instruments as
defined in the Law on Public Debt Management
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
a
Of a term up to 2 days
0,00035% of trading value
Members borrowing and lending debt instruments as
prescribed in the Law on Public Debt Management
b
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
0,0028% of trading value
c
Of a term of more than 14 days
0,0042% of trading value
5
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
5.1
Initial connection
VND 150 million/ member
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Within 05 business days after the SE approves online
connection
5.2
Periodical connection maintenance
VND 50 million/member/year
SE’s members
Annually
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
6
Terminal device user service
VND 20 million/ year
SE’s members
Annually
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
7
Auction, competitive offering, book building
0,15% of total value of shares, stakes, or the
type of securities actually sold, not exceeding VND 150 million/auction,
competitive offering or book building and not lower than VND 20
million/auction, competitive offering or book building
Enterprises, organizations and individuals that
have shares, stakes or securities sold through auction, competitive offering
or book building in accordance with regulations of law
Immediately after completion of the auction,
competitive offering or book building
8
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
0,0125% of the nominal value of bonds/national
development bonds issued through bidding but not exceeding VND 500
million/bidding session (including additional bidding session)
The State Treasury; issuers of government-backed
bonds as defined in the Law on Public Debt Management; Provincial-level
People’s Committees that issue municipal bonds
Monthly payment which must be made by the 15th
day of the following month with regard to bidding for issuance of government
bonds, national development bonds or government-backed bonds; within 05
business days from the date of bidding session for issuance of municipal
bonds
9
Bidding for repurchase of government debt
instruments, government-backed bonds and municipal bonds
0,00375% of the repurchase price of debt
instrument/bonds through bidding but not exceeding VND 150 million/bidding
session
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Within 05 business days from the date of the
bidding session for debt instruments/ bonds
10
Bidding for swap of government debt
instruments, government-backed bonds and municipal bonds
0,00375% of the price of debt instrument/bond
swapped through bidding but not exceeding VND 150 million/bidding
session
The State Treasury; issuers of government-backed
bonds as defined in the Law on Public Debt Management; Provincial-level
People’s Committees that issue municipal bonds
Within 05 business days from the date of the
bidding session for debt instruments/ bonds
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
III
PRICES OF SERVICES
APPLIED IN VIETNAM SECURITIES DEPOSITORY AND CLEARING CORPORATION (VSDC)
11
Depository member management
VND 20 million/ year
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Annually
12
Securities registration/partial securities
deregistration
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
12.1
Initial securities registration
Issuers
Within 05 business days after VSDC issues
certificate of initial securities registration
This regulation applies to shares, corporate
bonds, investment fund certificates (including ETFs) and covered warrants
This regulation does not apply to government debt
instruments, government-backed bonds, and municipal bonds
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
a
The value of registered securities is less than
VND 80 billion
VND 10 million
b
The value of registered securities is from VND 80
billion to under VND 200 billion
VND 15 million
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
c
The value of registered securities is VND 200
billion or above
VND 20 million
12.2
Additional securities registration/partial
securities deregistration
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
a
Shares, corporate bonds, investment fund
certificates (excluding ETFs)
VND 5 million/an application for additional
securities registration or partial securities deregistration
Within 05 business days after VSDC issues
modified certificate of securities registration
This regulation does not apply to government debt
instruments, government-backed bonds, and municipal bonds
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
b
ETFs and covered warrants
VND 500,000 million/an application for additional
securities registration and/or partial securities deregistration
For ETF certificates: Monthly payment which must
be made by the 15th day of the following month
For covered warrants: Within 05 business days
from the effective date of additional securities registration and/partial
securities deregistration
13
Securities depository service
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
13.1
Shares, fund certificates and covered warrants
VND 0,27/ share, fund certificate or covered
warrant/ month
Depository members, direct account holders
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
This regulation does not apply to securities
deposited on proprietary trading accounts of SBV
13.2
Corporate bonds
VND 0,18/corporate bond, but not exceeding VND
2.000.000/month/ticker symbol
13.3
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
VND 0,14/debt instrument as defined in the Law on
Public Debt Management/ month, but not exceeding VND 1,400,000/month/ code of
debt instruments as defined in the Law on Public Debt Management
14
Securities transfer service
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
14.1
Transfer of securities between investors’
accounts opened at different depository members
VND 0,3/security/ transfer/ticker symbol (not
exceeding VND 300,000/ transfer/ ticker symbol)
Depository members, direct account holders
Monthly payment which must be made by the 15th
day of the following month
This regulation does not apply to transfer of
financial instruments serving money market operations of SBV
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Transfer of securities for settlement purpose
VND 0,3/ security/ transfer/ ticker symbol (not
exceeding VND 300.000/ transfer/ ticker symbol)
15
Corporate actions
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
15.1
Less than 500 investors
VND 3,5 million/ corporate action
Issuers
Payment is made immediately for each corporate
action within 05 business days after VSDC issues the list of owners
performing corporate actions to the issuer
This regulation does not apply to government debt
instruments, government-backed bonds and municipal bonds
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
15.2
From 500 investors to less than 1.000 investors
VND 7 million/ corporate action
15.3
From 1.000 investors to less than 5.000 investors
VND 10,5 million/ corporate action
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
15.4
Above 5.000 investors
VND 14 million/ corporate action
16
Post-trading error correction
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
16.1
Post-trading error correction
VND 500.000/error
Depository members/clearing members/direct
account holders
Monthly payment which must be made by the 15th
day of the following month
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
16.2
Handling delayed settlement
VND 1.000.000/ delayed settlement
16.3
Proprietary trading error correction
VND 500.000/error
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
16.4
Cash settlement
VND 5.000.000/cash settlement
Members that lack securities and thus must make
cash settlement
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Transfer of securities ownership without using
the SE’s trading system
17.1
Transfer of securities ownership
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
This regulation does not apply to:
a) Transfer of financial instruments from money
market operations of SBV;
b) Transfer of securities ownership between
organizations established in Vietnam in which the transferee is wholly owned
by the transferor or vice versa; transfer of securities ownership between
subsidiaries of the same state-owned economic group or state-owned
corporation in which the subsidiary is wholly owned by the parent company
c) Transfer of ownership in case the issuer’s
Trade Union repurchases or revokes shares of employees upon their termination
of employment, or the Trade Union allocates shares or uses shares to pay
bonuses employees; the issuer uses treasury stocks to pay bonuses to its
existing shareholders, pay bonuses or allocate to employees;
d) Transfer of ownership of securities registered
as security interest in case of disposition of collateral as requested by a
competent authority which is specified in Section 17.1.e
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Transfer of shares by founding shareholders
during transfer restriction period as prescribed by law
0,1% of the value of transferred securities
Parties engaging in the ownership transfer
Within 05 business days after VSDC certifies the
transfer of securities ownership
b
Transfer of ownership of securities centrally
registered at VSDC upon approval by SSC
+ 0,1% of the value of transferred shares, fund
certificates or covered warrants
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
c
Transfer of ownership of privately placed
corporate bonds which have been registered at VSDC but have not yet been traded
on SE
0,005% of the value of transferred bonds
d
Transfer of securities ownership due to full or
partial division, consolidation or merger of enterprises; contribution of
share capital to enterprises (including cases of full or partial division,
consolidation or merger of enterprises approved by SSC, and contribution of
share capital by organizations established abroad); establishment or increase
in charter capital of private securities investment companies; increase or
decrease in charter capital of private funds
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
e
Transfer of securities ownership due to
disposition of collateral which is securities registered and blockaded at
VSDC
+ 0,02% of the value of transferred shares, fund
certificates or covered warrants
+ 0,005% of the value of transferred corporate
bonds or debt instruments defined in the Law on Public Debt Management
Transferors
Within 05 business days after VSDC certifies the
transfer of securities ownership
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
17.2
Donation or inheritance of securities according
to the Civil Code, except donation or inheritance of securities between
husband and wife, a parent and his/her natural child, an adoptive parent and
his/her adopted child, a father or mother and his/her daughter or son in law,
a paternal or maternal grandparent and his/her grandchild, or between
siblings
+ 0,1% of the value of transferred shares, fund
certificates or covered warrants
+ 0,005% of the value of transferred corporate
bonds or debt instruments defined in the Law on Public Debt Management
Transferees
Within 05 business days after VSDC certifies the
transfer of securities ownership
17.3
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
0,03% of the value of transferred securities
Parties engaging in the ownership transfer
Within 05 business days after VSDC certifies the
transfer of securities ownership
17.4
Transfer of securities ownership in cases of
exchange of ETFs or exercise of covered warrants
0,05% of the value of component securities to be
exchanged, which is calculated according to the face value of ETFs, or the
value of transferred underlying securities, calculated according to their
face value, due to exercise of covered warrants
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Monthly payment which must be made by the 15th
day of the following month
17.5
Transfer of share ownership between foreign
investors in the event that the maximum foreign holding of that share has
been reached and the price agreed upon between the parties is higher than the
ceiling price of that share on the securities trading system at the time of
trading
0,1% of the value of transferred shares
Transferors
Within 05 business days after VSDC certifies the
transfer of securities ownership
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
17.6
Transfer of securities ownership serving issuance
or cancellation of depositary receipts in transactions between investors and
overseas issuers of depositary receipts
0,05% of the value of transferred underlying
securities calculated by face value
Transferor in case of transfer of securities
ownership serving the issuance of depositary receipts or transferee in case
of transfer of securities ownership serving the cancellation of depositary
receipts
Within 05 business days after VSDC certifies the
transfer of securities ownership
18
Borrowing and lending securities via VSDC’s
system
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
18.1
Management of securities borrowing and lending
transactions
+ 0,027% of the value of lending transaction
determined at the date of conclusion of agreement on lending of shares,
investment fund certificates, ETFs or covered warrants, but not lower than
VND 500.000 in respect of lending of securities serving settlement purpose
+ 0,0054% of the value of corporate bond lending
transaction, but not lower than VND 500.000 in respect of lending transaction
serving settlement purpose
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Lenders and borrowers paying service charges to
VSDC through depository members
Monthly payment which must be made by the 15th
day of the following month
18.2
Collateral management
0,0024% of the accumulated value of collateral
(cash + value of securities calculated by face value)/contract (not exceeding
VND 1.600.000/contract but not lower than VND 100.000/contract)
Borrowers paying service charges to VSDC through
depository members
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19
Payment of principal, interests and repurchase
amounts of government bonds, national development bonds, government-backed
bonds and municipal bonds
0,01% of the bond/national development bond
principal, interest or repurchase amount payable but not exceeding VND 200
million/payment of principal, interest or repurchase amount of each
bond/national development bond’s code
State Treasury; issuers of government-backed
bonds as defined in the Law on Public Debt Management; Provincial-level
People’s Committees that issue municipal bonds
Monthly payment which must be made by the 15th
day of the following month
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20
Payment of principal, interests and repurchase
amounts of T-bills
0,005% of the amount of T-bills actually paid or the
repurchase amounts of T-bills but not exceeding VND 100 million/ payment of
principal, interest or repurchase amount of each T-bill’s code
State Treasury
Monthly payment which must be made by the 15th
day of the following month
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Registration of security interest for
securities registered at VSDC
Applicants for registration of security interest,
information about secured transaction, or copy of certificate of registration
of secured transaction paying service charges to VSDC through depository
members
Monthly payment which must be made by the 15th
day of the following month
21.1
Registration of security interest
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a
Initial application for registration of secured
transaction and blockade of securities
VND 80.000/application
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Application for changes in registration of
secured transaction
VND 60.000/application
c
Application for registration of notice of
collateral disposition
VND 30.000/application
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d
Application for deregistration of secured transaction
VND 20.000/application
dd
Application for issuance of copy of certificate
of registration of secured transaction
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21.2
Application for provision of information about
secured transaction
VND 30.000/application
This regulation does not apply to applicants for
information as prescribed in Clause 2 Article 171 of Decree No.
155/2020/ND-CP dated December 31, 2020
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Blockade of securities at the request of
investors
+ 0,1% of the value of blockaded securities which
are shares, fund certificates or covered warrants, but not exceeding VND 10
million/ticker symbol
+ 0,01% of the value of blockaded securities
which are corporate bonds or debt instruments as defined in the Law on Public
Debt Management, but not exceeding VND 10 million/ticker symbol
Applicants for blockade of securities paying
service charges to VSDC through depository members
Within 05 business days after VSDC certifies the
blockade of securities
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VND 20 million
Organizations accepted as clearing members by
VSDC
Within 05 business days after VSDC issues
certificate of clearing membership (lump-sum payment)
This service price is charged on both general
clearing members and direct clearing members
24
Clearing member management
VND 20 million/ year
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Annually
This service price is charged on both general
clearing members and direct clearing members
25
Clearing service
0,018% of the value of novation transaction
Depository members accepted within 12 months from
the official date of application of the central counterparty clearing
mechanism/clearing members
Monthly payment which must be made by the 15th
day of the following month
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B. PRICES OF SERVICES RENDERED
ON DERIVATIVES MARKET
No.
NAME OF SERVICE
PRICE
PAYER
PAYMENT TIME
LIMIT
SCOPE OF APPLICATION
I
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1
Registration as derivatives trading member
VND 20 million
Organizations accepted as derivatives trading
members by SE
Within 05 business days after SE issues decision to
approve derivatives trading membership (lump-sum payment)
This service price is charged on both trading
members and special trading members on derivatives market
2
Management of derivatives trading members
VND 20 million/ year
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Annually
This service price is charged on both trading
members and special trading members on derivatives market
II
PRICES OF SERVICES
APPLIED IN HANOI STOCK EXCHANGE (HNX) AND HO CHI MINH STOCK EXCHANGE (HOSE)
3
Derivatives trading service
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a
Index futures contracts
VND 2.700/ contract
Derivatives trading members
Monthly payment which must be made by the 15th
day of the following month
b
Government-bond futures contracts
VND 4.500/ contract
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PRICES OF SERVICES
APPLIED IN VIETNAM SECURITIES DEPOSITORY AND CLEARING CORPORATION (VSDC)
4
Registration as derivatives clearing member
VND 20 million
Organizations accepted as derivatives clearing
members by VSDC
Within 05 business days after VSDC issues
certificate of clearing membership (lump-sum payment)
This service price is charged on both general
clearing members and direct clearing members
5
Management of derivatives clearing members
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Derivatives clearing members
Annually
This service price is charged on both general
clearing members and direct clearing members
6
Derivatives clearing service
VND 2.550/novation contract
Derivatives clearing members
Monthly payment which must be made by the 15th
day of the following month
This service price shall be charged after VSDC
officially provides derivatives clearing and settlement services using the
new securities market information technology system
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Management of margin assets
0,0024% of the accumulated balance on the margin
account (cash + value of securities calculated by face value)/ account/ month
(not exceeding VND 1.600.000/ account/ month, but not lower than VND 100.000/
account/ month)
Derivatives clearing members
Monthly payment which must be made by the 15th
day of the following month
8
Post-trading error correction
VND 500.000/error
Derivatives clearing members
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This service price shall be charged after VSDC officially
provides derivatives clearing and settlement services using the new
securities market information technology system
APPENDIX
GUIDELINES ON PRICES OF SECURITIES SERVICES IN THE
PRICE SCHEDULE
(Enclosed with the Circular No. 101/2021/TT-BTC dated November 17, 2021 of
the Minister of Finance)
A. PRICES OF SERVICES RENDERED
ON UNDERLYING SECURITIES MARKET
1. Member
management
Service charge
payable
=
Service price
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Charging period
(months)
12 months
a) The service price is prescribed in Point 1
Section I Part A of the Price Schedule.
b) Charging period:
- If an organization is
currently a member of the SE and is not subjected to the cancellation of
membership in the year, the charging period shall be 12 months counting from
January 01 of the charging year.
- If an organization is a new
member of the SE and is not subjected to the cancellation of membership in the
same year, the charging period shall be calculated from the month after the month
in which the SE issues a decision to approve membership to the end of December
of the same year.
- If an organization is
currently a member of the SE but is subject to the SE’s suspension of trading
membership or trading activities to serve voluntary or compulsory cancellation
of membership in the same year, the charging period shall be calculated from
the beginning month of the year to the end of the month in which its trading
membership or trading activities are suspended by the SE.
- If an organization is a new
member of the SE but is subject to the SE’s suspension of trading membership or
trading activities to serve voluntary or compulsory cancellation of membership
in the same year, the charging period shall be calculated from the month after the
month in which the SE issues a decision to approve membership to the end of the
month in which its trading membership or trading activities are suspended by
the SE.
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d) Refund of the collected service charge:
If a member has its membership cancelled, the SE
shall refund the difference between the collected service charge in the year
and the actual service charge payable, which is calculated adopting the formula
and instructions in Point a and Point b of this Clause, to that member.
2. Listing
registration
a) The service price is prescribed in Point 2
Section II Part A of the Price Schedule.
b) In case an organization has its securities
listed but then voluntarily or involuntarily delisted, the listed organization,
fund management company or issuer of covered warrants cannot claim the refund
of the paid listing registration charge.
3. Listing
management service
a) With regard to management of listing of shares, corporate
bonds, investment fund certificates and debt instruments defined in the Law on
Public Debt Management:
Service charge
payable
=
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X
Charging period
(months)
12 months
a1) Service price:
- The service price is
prescribed in Point 3.1 and Point 3.2 Section II Part A of the Price Schedule
corresponding with each securities type and listed value.
- If an organization has
different types of securities listed on the same SE, the service price shall be
calculated for each type of listed securities.
a2) Charging period:
- In case the security is
currently listed and is not subject to delisting in the same year, the charging
period shall be 12 months commencing from January 01 of the charging year.
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- In case the security is
listed but then delisted in the same year, the charging period shall be
calculated from the beginning month of the year to the end of the month in
which the delisting becomes effective.
- In case the security is
listed for the first time but is delisted in the same year, the charging period
shall be calculated from the month after the month in which the SE issues a
Decision to approve listing to the end of the month in which the delisting
becomes effective.
a3) In case the listed organization or fund
management company makes changes in listing resulting in change in the service
charge payable (except ETFs), the securities listing management service charge
payable is the sum of:
- The service charge which is
calculated according to the listed securities type and previous listed value
for the charging period from the beginning month of the year (or from the month
after the month in which the SE issues a Decision to approve listing if the
security is listed in the year) to the end of the month in which the SE issues
the Decision to approve changes in listing of the same year.
- The service charge which is
calculated according to the listed securities type and the new listed value for
the charging period from the month after the month in which the SE issues the
Decision to approve changes in listing in the year to the end of the month in
which the SE issues the following Decision to approve changes in listing or to
the end of December of the same year.
a4) Refund or additional collection of charge on
listing management service of shares, corporate bonds, investment fund
certificates and debt instruments defined in the Law on Public Debt Management:
- If the security is delisted
in the year, the SE shall refund the difference between the service charge
collected in the year and the actual service charge payable which is calculated
adopting the formula and instructions provided in Point a1 and Point a2 of this
Clause to the listed organization or fund management company.
- If any change in the
securities listing results in increase or decrease in the service charge
payable after the change in comparison to the collected service charge, the SE
shall calculate and additionally collect or refund the difference to the listed
organization or fund management company.
b) With regard to management of listing of covered
warrant:
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b1) The service price is prescribed in Point 3.4
Section II Part A of the Price Schedule.
b2) Charging period:
- The charging period is
calculated from the month in which the SE issues a Decision to approve listing
of covered warrant to the end of the final month of the term of that covered
warrant. If the covered warrant is listed for the first time in the year, the
charging period of the first year is calculated from the month in which the SE
issues a Decision to approve listing of covered warrant to the end of December
of the same year and shall not be longer than the term of that covered warrant.
- In case a covered warrant is
listed but then is delisted in the same year, the charging period shall be
calculated from the month in which the SE issues a Decision to approve listing
to the end of the month in which the delisting becomes effective.
b3) Refund of the charge on listing management
service of covered warrants
If a covered warrant is delisted in the year, the
SE shall refund the difference between the service charge collected in the year
and the actual service charge payable which is calculated adopting the formula
and instructions provided in Point b1 and Point b2 of this Clause to the listed
organization.
4. Trading
service
a) For trading in shares, fund certificates,
corporate bonds, and debt instruments defined in the Law on Public Debt
Management, and covered warrants:
Service charge
payable
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Service price
x
Total trading
value of each member
Where:
- Total trading
value of each member
=
Value of
securities purchased
+
Value of
securities sold
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b) The service charge on a repo transaction in a
debt instrument as defined in the Law on Public Debt Management shall be
charged once on the first transaction (buy transaction) and not charged on the
sell-back transaction.
c) The service charge on a sell/buy-back in a debt
instrument as defined in the Law on Public Debt Management shall be charged
once on the first transaction (sell transaction) and not charged on the buyback
transaction.
d) The service charge on borrowing/lending of a
debt instrument as defined in the Law on Public Debt Management shall be
charged once on the value of the borrowing/lending transaction and not charged
on the repayment of debt instrument borrowed/lent.
5. Online
connection
Online connection service price includes initial
connection service price and periodic connection maintenance service price.
a) Initial online connection
- The service price is
prescribed in Point 5.1 Section II Part A of the Price Schedule.
- If the membership is granted
after the consolidation, merger, full or partial division, conversion or
repurchase, the price of the initial online connection service shall be
calculated as follows:
+ The initial online connection service price shall
be charged on the member whose operations are not based on the existing
material facilities, information technology system and trading software of one
of members participating in that consolidation, merger, full or partial
division, conversion or repurchase.
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b) Periodical connection maintenance service:
Service charge
payable
=
Service price
x
Charging period
(months)
12 months
- The service price is prescribed
in Point 5.2 Section II Part A of the Price Schedule.
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+ If a member’s online trading connection is not
subject to suspension by the SE for following procedures for cancellation of
its membership in the year, the charging period shall be 12 months commencing
from January 01 of the charging year.
+ If a member’s online trading connection has been
newly approved and is not subject suspension by the SE for following procedures
for cancellation of its membership in the year, the charging period shall be
calculated from the month after the month in which the SE approves online
trading connection to the end of December in the same year.
+ If a member’s online trading connection is active
and subject to suspension for following procedures for cancellation of its
membership in the year, the charging period shall be calculated from the
beginning month of the year to the end of the month in which the SE suspends
the online connection.
+ If a member’s online trading connection has been
newly approved but is subject suspension by the SE for following procedures for
cancellation of its membership in the year, the charging period shall be
calculated from the month after the month in which the SE approves online
trading connection to the end of the month in which the SE suspends the online
connection.
c) If an organization is granted membership by the
SE after the consolidation, merger, full or partial division, conversion or
repurchase which requires following procedures for online connection, it shall
pay the same periodical online connection maintenance service charge as that is
incurred by a new online trading member.
d) Refund of the collected service charge:
If a member has its online connection suspended for
cancellation of its membership, the SE shall refund the difference between the
charge on periodical online connection maintenance service collected in the
year and the actual service charge payable which is calculated adopting the
instructions in Point b of this Clause to that member.
6. Terminal
device user service
Service charge
payable
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Service price
x
Charging period
(months)
12 months
a) The service price is prescribed in Point 6
Section II Part A of the Price Schedule.
b) Charging period:
- If an organization is currently
a member of the SE and is not subject to the SE’s suspension of trading
membership or trading activities for the purpose of voluntary or involuntary
cancellation of its membership in the year, the charging period shall be 12
months from January 01 of the charging year.
- If an organization is newly
granted membership by the SE and is not subject to the SE’s suspension of
trading membership or trading activities for the purpose of voluntary or
involuntary cancellation of its trading membership in the same year, the
charging period shall be calculated from the month after the month in which the
SE issues a decision to approve remote trading connection to the end of
December of the same year.
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- If an organization is newly
granted membership by the SE but is subject to the SE’s suspension of trading
membership or trading activities to serve voluntary or compulsory cancellation
of membership in the same year, the charging period shall be calculated from
the month after the month in which the SE issues a decision to approve remote
trading connection to the end of the month in which its trading membership or trading
activities are suspended by the SE.
c) If an organization becomes a member of the SE
after the consolidation, merger, full or partial division, conversion or
repurchase which requires following procedures for registration as a new member,
it must pay the same terminal device user service charge as that incurred by an
applicant for registration of new membership.
d) Refund of the collected service charge:
If a member has its membership cancelled, the SE
shall refund the difference between the service charge collected in the year
and the actual service charge payable which is calculated adopting the formula
and instructions in Point a and Point b of this Clause to that member.
7. Auction,
competitive offering and book building at the SE
a) The service price is prescribed in Point 7
Section II Part A of the Price Schedule.
b) The value of shares/stakes/other securities sold
out, which is employed to calculate the service charge on an
auction/competitive offering/book building, includes the proceeds from
shares/stakes/securities sold out by direct negotiation with investors
participating in the auction (in case the SE carries out direct negotiation for
selling the quantity of shares/securities that are unsold in the
auction).
c) If conditions for holding an auction/competitive
offering/book building are not satisfied or the auction/competitive
offering/book building is suspended at the request of the SE’s service user,
the minimum service charge of VND 20 million/auction shall still be collected.
8. Depository
member management
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=
Service price
x
Charging period
(months)
12 months
a) The service price is prescribed in Point 11
Section III Part A of the Price Schedule.
b) Charging period:
- If an organization is
currently a depository member of the VSDC and is not subject to the VSDC’s
revocation of Certificate of depository membership in the year, the charging
period shall be 12 months commencing from January 01 of the charging year.
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- If an organization is
currently a depository member of VSDC and has its Certificate of depository
membership revoked by VSDC in the year, the charging period shall be calculated
from the beginning month of the year to the end of the month in which VSDC
issues a Decision to revoke Certificate of depository membership.
- If an organization is newly
granted depository membership by VSDC and then has its Certificate of
depository membership revoked by VSDC in the same year, the charging period
shall be calculated from the month after the month in which VSDC issues a
Decision to issue Certificate of depository membership to the end of the month
in which VSDC issues a Decision to revoke Certificate of depository membership.
c) If an organization is granted depository
membership after consolidation, merger, full or partial division, conversion or
repurchase which requires following procedures for registration of depository
membership with VSDC, it must pay the same service charge as that incurred by
an applicant for registration of new depository membership.
d) Refund of the collected service charge:
If a depository member has its Certificate of
depository membership revoked, VSDC shall refund the difference between the
service charge collected in the year and the actual service charge payable,
which is calculated adopting the formula and instructions in Point a and Point
b of this Clause, to that depository member.
9. Securities
registration/partial securities deregistration
a) The service price is prescribed in Point 12
Section III Part A of the Price Schedule.
b) If an issuer’s registration of securities is
accepted but then such securities are subject to voluntary or compulsory
deregistration, the issuer shall not be eligible for refund of securities
registration service charge.
10. Securities
depository service
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
=
Service price
x
ΣVi
30 days
a) The service price is prescribed in Point 13 Section
III Part A of the Price Schedule.
b) ∑Vi calculation
“Vi” is the quantity of securities deposited
in the day i and is the sum of balances on all securities depository accounts
serving securities brokerage and proprietary trading.
i = 1 → n is the days in a month in which
deposited securities balances occur.
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c) Exemption from securities depository service
charge
Securities depository service charges in respect of
shares of public companies which are not yet listed or registered for trading
on SE shall be exempted.
11. Securities
transfer service
a) The charge on transfer of securities between
investors’ accounts opened at different depository members:
The service charge payable in the month is the sum
of charges on securities transfer service in the day i.
(i = 1 → n is the days in a month in which
securities are transferred between the investor’s accounts opened at different
depository members)
The charge on securities transfer service in the
day i = ∑(Service price x Vj)
Where:
- The service price is
prescribed in Point 14.1 Section III Part A of the Price Schedule.
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b) The service charge on the transfer of securities
for settlement purpose
The service charge payable in the month is total
charge on securities transfer service for settlement in the day i (i = 1→n is
the days in a month in which securities are transferred for settlement of
securities selling transactions)
The charge on securities transfer service for
settlement in the day i = ∑(Service price x Pj)
Where:
- The service price is
prescribed in Point 14.2 Section III Part A of the Price Schedule.
- Pj is the quantity of
securities of code j (j = 1→m is codes of securities transferred for settlement
of securities selling transactions in the day i) transferred for settlement in
the day i according to VSDC’s notice of trading result.
12. Corporate
actions
a) The service price is prescribed in Point 15
Section III Part A of the Price Schedule.
b) The charge on corporate action performance
service is calculated according to the number of securities holders of the
issuer (regardless of whether or not the security is deposited) on the list of
securities holders made by VSDC when notifying the record date for corporate
actions.
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The charge on post-trading error correction service
includes the charge on post-trading error correction, the charge on handling of
transactions with delayed settlement, the charge on proprietary trading error
correction and the charge on cash settlement service.
a) Charge on post-trading error correction service:
Service charge = Service price x n
- The service price is
prescribed in Point 16.1 Section III Part A of the Price Schedule.
- n is the number of erroneous
transactions corrected by VSDC
b) Charge on handling of transactions with delayed
settlement:
Service charge = Service price x n
- The service price is
prescribed in Point 16.2 Section III Part A of the Price Schedule.
- n is the number of
transactions for which the delayed settlement is handled by VSDC.
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Service charge = Service price x n
- The service price is
prescribed in Point 16.3 Section III Part A of the Price Schedule.
- n is the number of
proprietary transactions corrected by VSDC.
d) Charge on cash settlement service
Service charge = Service price x n
- The service price is
prescribed in Point 16.4 Section III Part A of the Price Schedule.
- n is the number of
transactions with cash settlement handled by VSDC.
dd) In case trading errors occur in case of force
majeure events such as technical problems, the charge on post-trading error correction
service shall be calculated in each specific case according to instructions in
Point a, Point b, Point c and Point d of this Clause provided that total charge
on post-trading error correction service payable by a depository member or
clearing member shall not exceed VND 100 million/ member/error.
14. Transfer
of securities ownership without using the SE’s trading system
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=
Service price
x
Value of
transferred securities
Value of
transferred securities
=
Quantity of securities
transferred
x
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a) The service price is prescribed in Point 17
Section III Part A of the Price Schedule.
b) The price of securities employed to calculate
the value of transferred securities shall be determined as follows:
- For securities listed or
registered for trading:
+ In case of securities ownership transfer, the
securities price shall be the price specified in the transfer agreement
provided that it shall not be lower than the reference price announced in the
day in which the transfer of securities ownership is performed by VSDC.
+ In case of donation or inheritance or where the
transfer agreement is not available or does not indicate the transfer price,
the securities price shall be the reference price announced in the day in which
the transfer of securities ownership is performed by VSDC.
+ In case the bond's reference price is
unavailable, the securities price shall be calculated according to the bond's
face value.
- For securities which are not
yet listed or registered for trading, the securities price shall be calculated
according to the face value.
c) The transferors (specified in Point 17.1, Point
17.3 or Point 17.5 Section III Part A of the Price Schedule) or the transferees
(specified in Point 17.2 Section III Part A of the Price Schedule) or investors
carrying out exchanges with ETFs (buy/sell backs of ETF certificates),
investors requesting the exercise of covered warrants (specified in Point 17.4
Section III Part A of the Price Schedule) or transferors of securities
ownership serving issuance of depositary receipts/transferees of securities
ownership serving cancellation of depositary receipts (specified in Point 17.6
Section III Part A of the Price Schedule) shall pay charges on securities
ownership transfer service through depository members where depository accounts
of parties engaged in the securities ownership transfer are opened in respect
of deposited securities or through issuers in respect of non-deposited
securities.
15. Borrowing
and lending securities via VSDC’s system
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Charge payable on
securities borrowing/lending service
=
Service price
x
Value of lending
transaction determined at the date of conclusion of lending agreement
Where:
The service price is prescribed in Point 18.1
Section III Part A of the Price Schedule.
The service price shall be charged once on the
borrowing/lending transaction and not charged on the repayment of borrowed/lent
securities.
15.2. Collateral management
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Where:
The service price is prescribed in Point 18.2
Section III Part A of the Price Schedule.
Vi: The value of the collateral (cash and
securities calculated by their face value) in the day i
i = 1 → n is the borrowing days.
16. Blockade
of securities at request of investors
Charge payable on
securities blockade service
=
Service price
x
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Value of blockaded
securities
=
Quantity of blockaded
securities
x
V
Where:
a) The service price is prescribed in Point 22
Section III Part A of the Price Schedule.
b) V: Price of securities calculated by face value
in respect of shares, bonds, fund certificates, ETFs or which is the initial issuance
price in respect of covered warrants
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Where:
a) The service price is prescribed in Point 23
Section III Part A of the Price Schedule.
b) If a clearing member has its clearing membership
voluntarily or compulsorily cancelled, the service charge paid when following
procedures for registration as clearing member shall not be refunded.
18. Clearing
member management
Service charge
payable
=
Service price
x
Charging period
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12 months
a) The service price is prescribed in Point 24
Section III Part A of the Price Schedule.
b) Charging period:
- If an organization is currently a clearing member of the VSDC and is not
subject to the VSDC’s revocation of Certificate of clearing membership in the
year, the charging period shall be 12 months from January 01 of the charging
year.
- If an organization is newly
granted clearing membership by VSDC in the year and is not subject to the
VSDC’s revocation of Certificate of clearing membership in the same year, the
charging period shall be calculated from the month after the month in which the
VSDC issues a Decision to issue Certificate of clearing membership to the end
of December of the same year.
- If an organization is
currently a clearing member of VSDC and has its Certificate of clearing
membership revoked by VSDC in the year, the charging period shall be calculated
from the beginning month of the year to the end of the month in which VSDC
issues a Decision to revoke Certificate of clearing membership.
- If an organization is newly
granted clearing membership by VSDC in the year but then has its Certificate of
clearing membership revoked by VSDC in the same year, the charging period shall
be calculated from the month after the month in which the VSDC issues a
Decision to issue Certificate of clearing membership to the end of the month in
which VSDC issues a Decision to revoke Certificate of clearing membership.
c) If an organization becomes a clearing member
after the consolidation, merger, full or partial division, conversion or
repurchase which requires following procedures for registration of clearing
membership with VSDC, it must pay the same service charge as that incurred by
an applicant for registration of new clearing membership.
d) Refund of the collected service charge:
If a clearing member has its Certificate of
clearing membership revoked, VSDC shall refund the difference between the
service charge collected in the year and the actual service charge payable,
which is calculated adopting the formula and instructions in Point a and Point
b of this Clause, to that clearing member.
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Service charge payable = Service price x Total
value of novation transactions of each member
Where:
- Total value of
novation transactions of each member
=
Value of
securities purchased
+
Value of
securities sold
- The service price is
prescribed in Point 25 Section III Part A of the Price Schedule.
B. PRICES OF SERVICES RENDERED
ON DERIVATIVES MARKET
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a) The service price is prescribed in Point 1
Section I Part B of the Price Schedule.
b) If a derivatives trading member has its trading
membership voluntarily or compulsorily cancelled, the service charge paid when
following procedures for registration as derivatives trading member shall not
be refunded.
2. Management
of derivatives trading members
Service charge
payable
=
Service price
x
Charging period
(months)
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a) The service price is prescribed in Point 2
Section I Part B of the Price Schedule.
b) Charging period:
- If an organization is
currently a derivatives trading member of the SE and is not subject to the
cancellation of membership in the year, the charging period shall be 12 months counting
from January 01 of the charging year.
- If an organization is newly
granted derivatives trading membership by the SE in the year and is not subject
to the cancellation of trading membership in the same year, the charging period
shall be calculated from the month after the month in which the SE issues a
decision to approve derivatives trading membership to the end of December of
the same year.
- If an organization is
currently a derivatives trading member of the SE but is subject to the SE’s
suspension of trading membership or trading activities for the purpose of
voluntary or compulsory cancellation of membership in the same year, the
charging period shall be calculated from the beginning month of the year to the
end of the month in which its trading membership or trading activities are
suspended by the SE.
- If an organization is newly
granted derivatives trading membership by the SE but is subject to the SE’s
suspension of trading membership or trading activities for the purpose of
voluntary or compulsory cancellation of membership in the same year, the
charging period shall be calculated from the month after the month in which the
SE issues a decision to approve derivatives trading membership to the end of
the month in which its trading membership or trading activities are suspended
by the SE.
c) If an organization becomes a derivatives trading
member after the consolidation, merger, full or partial division, conversion or
repurchase which requires following procedures for registration as a new derivatives
trading member, it must pay the same service charge as that incurred by an
applicant for registration of new derivatives trading membership.
d) Refund of the collected service charge:
If a derivatives trading member has its membership
cancelled, the SE shall refund the difference between the service charge
collected in the year and the actual service charge payable, which is
calculated adopting the formula and instructions in Point a and Point b of this
Clause, to that member.
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Futures trading
service charge
=
Service price
x
Total number of
futures contracts of each member
Where:
- Total number of futures
contracts of each member = The number of buy contracts + The number of sell
contracts.
- The service price is
prescribed in Point 3 Section II Part B of the Price Schedule.
4. Registration
as derivatives clearing member
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b) If a derivatives clearing member has its
membership voluntarily or compulsorily cancelled, the service charge paid when
following procedures for registration as derivatives clearing member shall not
be refunded.
5. Management
of derivatives clearing members
Service charge
payable
=
Service price
x
Charging period
(months)
12 months
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b) Charging period:
- If an organization is
currently a derivatives clearing member of the VSDC and is not subject to the
VSDC’s cancellation of membership in the year, the charging period shall be 12
months counting from January 01 of the charging year.
- If an organization is newly
granted derivatives clearing membership by VSDC in the year and is not subject
to the VSDC’s cancellation of clearing membership in the same year, the
charging period shall be calculated from the month after the month in which the
VSDC issues a Decision to issue Certificate of clearing membership to the end
of December of the same year.
- If an organization is
currently a derivatives clearing member of VSDC but is subject to the VSDC’s
cancellation of clearing membership in the same year, the charging period shall
be calculated from the beginning month of the year to the end of the month in
which VSDC issues a Decision to cancel clearing membership.
- If an organization is newly
granted derivatives clearing membership by VSDC in the year but is not subject
to the VSDC’s cancellation of clearing membership in the same year, the
charging period shall be calculated from the month after the month in which the
VSDC issues a Certificate of clearing membership to the end of the month in
which VSDC issues a decision to cancel clearing membership.
c) If an organization becomes a derivatives
clearing member after the consolidation, merger, full or partial division,
conversion or repurchase which requires following procedures for registration
of clearing membership with VSDC, it must pay the same service charge as that
incurred by an applicant for registration of new clearing membership.
d) Refund of the collected service charge:
If a derivatives clearing member has its membership
cancelled, VSDC shall refund the difference between the service charge paid in the
year and the actual service charge payable, which is calculated adopting the
formula and instructions in Point a and Point b of this Clause, to that
clearing member.
6. Derivatives
clearing service
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a) The service price is prescribed in Point 6
Section III Part B of the Price Schedule.
b) ∑Vi calculation
- Vi is the number of novated
contracts in the day i which is calculated by adding novated contracts on all
accounts of the investor/clearing member.
i = 1 → n is the days in a month in which
transactions are conducted
7. Management
of margin assets
The charge on margin asset management service
payable by a clearing member in a month:
P = P1 + P2
Where:
P is the charge payable on margin asset management
service;
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P2 is the charge payable on securities margin
management service;
- Cash margin management:
Payer: the derivatives clearing member that has
cash margin balance
The charge on cash margin management service
payable by a clearing member in a month: P1 = ΣPi
Pi = Service price x cash margin balance in the day
i
Where:
Pi is the charge on margin management service in
the day i
i = 1 →n is the days in a month in which cash
margin balance occurs
The service price is prescribed in Point 7 Section
III Part B of the Price Schedule.
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Payer: the derivatives clearing member that has
securities margin balance
The charge on securities margin management service
payable by a clearing member in a month: P2 = ΣPi
Pi= Service price x Σ(Vj x k)
Where:
Pi is the charge on securities margin management
service in the day i;
i = 1 →n is the days in a month in which securities
margin balance occurs;
k is the face value of securities of ticker symbol
generating balance in the day i;
Vj is total balance of securities used
as margin of ticker symbol j on securities margin account opened at VSDC in the
day i;
j = 1 → m is ticker symbols of securities with
balances occurring in the day i;
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8. Post-trading
error correction
Service charge payable = Service price x n
- The service price is
prescribed in Point 8 Section III Part B of the Price Schedule.
- n is the number of erroneous
transactions corrected by VSDC.