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THE MINISTRY OF
FINANCE
THE STATE SECURITIES COMMISSION
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SOCIALIST REPUBLIC
OF VIETNAM
Independence - Freedom - Happiness
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No. 306/QĐ-UBCK
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Hanoi, May 18, 2010
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DECISION
GUIDING
THE IMPLEMENTATION OF THE CIRCULAR NO. 27/2010/TT-BTC DATED FEBRUARY 26TH 2010,
ON THE FEES AND THE REGIME FOR COLLECTING, PAYING, MANAGING, AND USING THE FEES
FOR SECURITY ACTIVITIES, APPLICABLE TO THE STOCK EXCHANGES AND THE VIETNAM
SECURITIES DEPOSITORY
THE PRESIDENT OF THE
STATE SECURITIES COMMISSION
Pursuant to the Law on Securities No.
70/2006/QH11 approved by the National Assembly on June 29th 2006;
Pursuant to the Government's Decree No.
14/2007/NĐ-CP dated January 19th 2007, detailing the implementation
of a number of articles of the Law on Securities;
Pursuant to the Prime Minister’s Decision No.
112/2009/QĐ-TTg dated September 11th
2009 on the defining the functions, tasks, powers and organizational structure
of the State Securities Commission affiliated to the Ministry of Finance;
Pursuant to the Circular No. 27/2010/TT-BTC
dated February 26th 2010, on the fees and the regime for collecting,
paying, managing, and using the fees for security activities, applicable to the
Stock Exchanges and the Vietnam Securities Depository;
At the proposal of the Director of the Market
Development Department,
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Article 1. Promulgated
together with this Decision the Guidance on the fees and the regime for
collecting, paying, managing, and using the fees for security activities,
applicable to the Stock Exchanges and the Vietnam Securities Depository.
Article 2. This
Decision takes effect on the date of its signing, and supersedes the Decision
No. 184/QĐ-UBCK dated March 17th 2006 of the State Securities
Commission, guiding the fee collection in the stock trading.
Article 3. The
Chief officers, the Director of the Market development department, Heads of
units affiliated to the State Securities Commission, the General Directors of
the Stock Exchanges, the General Director of the Vietnam Securities Depository,
the Directors of securities companies, the commercial banks, listed companies,
fund management company, stock-issuing organizations, other organizations and
individuals doing tasks relating to the securities market at the Stock
Exchanges and the Vietnam Securities Depository are responsible for the
implementation of this Decision./.
THE PRESIDENT
Vu Bang
GUIDANCE
ON
THE FEE COLLECTION AND PAYMENT FOR STOCK TRADING, APPLICABLE TO THE STOCK
EXCHANGES AND THE VIETNAM SECURITIES DEPOSITORY.
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1. Subjects of
application
- The fee collectors: The Stock Exchange of
Ho Chi Minh city (HOSE), the Stock Exchange of Hanoi (HNX) and the Vietnam
Securities Depository (VSD).
- The fee payers:
+ The securities companies, commercial banks,
and traders of the Stock Exchanges;
+ Listed companies, fund management companies
that have listed public fund certificates;
+ The members that deposit or open direct
accounts at VSD, the security registration organizations;
+ The organizations and individuals that
transfer and receive the securities ownership via the transaction system of the
Stock Exchanges.
2. The collecting
rule:
2.1. Collecting time:
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- The biannual fees shall be collected before
July 15th of that year and before January 15th of the
succeeding year.
- The monthly fees shall be collected before
15th of the succeeding month.
- A month is considered having 30 days, a
years has 12 months.
2.2. The collecting rules:
- In 2010, the Stock Exchanges that have
collected the annual fees for using terminal devices, the fees for listing
management shall calculate the fees actually collected as guided in this
Decision to refund or request additional payment from fee payers if there is
any difference from the fees collected at the beginning of the year. If the
listing in 2010 is transferred, the Stock Exchange that manages the listed
company that has paid the fee at the beginning of 2010 must refund the list
management fee to the Stock Exchange to which the listed company is
transferred. The listing management fee in 2010 is calculated based on the old
rate in the first 4 months in 2010, and the new rate in the last 8 months in
2010.
- In 2010, the annual fees such as trader management
fee, depository member management fee, the fee for maintaining periodic online
connection shall be collected for the full 12 months.
- For periodic fees such as the fee for
trader management, the fee for depository member management, the fee for periodic
online connection, the fee for using terminal devices, the fee payers shall pay
within 5 working days as from the membership as traders, depository members,
the online connection, and the use of terminal devices (or the change in the
quantity of terminal devices) are granted.
- For companies applying for the first
listing or additional listing (that leads to the change in the annual listing
management fee), the listed companies must pay the annual listing management
fee within 05 working days as from the Stock Exchange issues the Decision on
approving the listing.
- In the year, if the traders increase or
decrease the use of terminal devices, and the listed companies increase or
decrease the listed capital, the fees shall be calculated from the first day of
the month succeeding the month when they increase or decrease the use of
terminal devices or the listed capital.
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- The fees for the first listing, the
additional listing, the first online connection shall be collected within 5
working days as from the day the Stock Exchange issues the Decision on
approving the first listing, or the additional listing, or the online
connection. The securities company that executed the online transaction before
April 12th 2010 are exempted from the fee for the first online
connection.
- The fees for the first securities
registration, the additional securities registration, and the stock ownership
transfer shall be collected within 05 working days as from the VSD issue the
written approval for the first securities registration, the change of
securities registration due to additional securities registration, and as from
the VSD certifies the stock ownership transfer.
- The collected amount shall be rounded to
nearest unit.
3. The collecting
rate and time:
The fees collected by the Stock Exchange or
VSD are specified in the Table below:
No.
CONTENT
RATE
FEE PAYER
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I
THE FEES APPLICABLE TO THE STOCK
EXCHANGES
1
Trader management fee
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1.1
Traders being securities companies
20 million VND per year
Traders
1.2
Traders being commercial banks
20 million VND per year
Traders that participate in the bond market
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2
Fee for listing registration
2.1
Fee for the first listing registration
10 million VND per listed company
The listing applicant (not applicable to
the listing transfer among the Stock Exchanges, and Government bonds)
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2.2
Fee for additional listing registration
5 million VND per additional listing
Listed companies
Collected after the additional listing is
accepted.
3
Annual listing management fee
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3.1
For stock (listed value = face value)
Listed companies
a
Listed value under 100 billion VND
15 million VND
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b
Listed value from 100 billion VND to under
500 billion VND
20 million VND
c
Listed value above 500 billion VND
20 million VND + 0.001% of the listed
value, but must not exceed 50 million VND
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3.2
For bonds and fund certificates (listed
value = face value)
Listed companies, fund management companies
that have listed public fund certificates
a
Listed value under 80 billion VND
15 million VND
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b
Listed value from 80 billion VND to under
200 billion VND
20 million VND
c
Listed value above 200 billion VND
20 million VND + 0.001% of the listed
value, but must not exceed 50 million VND
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4
Transaction fee
Traders
monthly
4.1
Listed securities
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a
Securities and investment fund certificates
0.03% of the traded value
b
Bonds
0.0075% of the traded value
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4.2
Unlisted securities
a
stocks
0.02% of the traded value
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b
Bonds
0.0075% of the traded value
4.3
Government bonds
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a
Fees for repurchase (repo) of bonds with
terms up to 2 weeks
0.005% of the traded value
Collected in a lump sum when determining
the first transaction
b
Fees for repurchase (repo) of bonds lasting
more than 2 weeks
0.0075% of the traded value
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c
Fee for annual transaction (outright
transaction)
0.0075 % of the traded value
5
Fee for online connection
Traders
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5.1
Fee for first connection
150 million VND per trader
Collected after the online connection is
accepted.
5.2
Annual fee for maintenance
50 million VND per trader per year
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6
Fee for using terminal devices
20 million VND per device per year
Traders
Annually
7
Fee for bidding Government bonds
0.15% of the total value of winning bonds
The issuing organizations
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II
THE FEES APPLICABLE TO THE VIETNAM
SECURITIES DEPOSITORY
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8
Depository member management fees
40 million VND per year
Depository members
Annually
9
Fee for securities registration
Issuing organizations (not applicable to
Government bonds)
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9.1
Fee for first securities registration
Collected after VSD issues the written
certificate of first securities registration
a
Securities registration value under 80
billion VND
10 million VND
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b
Securities registration value from 0
billion VND to 200 billion VND
15 million VND
c
Securities registration value above 200
billion VND
20 million VND
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9.2
Fee for additional securities registration
5 million VND per additional registration
Collected after VSD issues the written
certificate of additional securities registration
10
Fee for securities depository
VSD's members
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10.1
Securities and fund certificates
0.5 VND per security or fund certificate
per month
10.2
Bonds
0.2 VND per bond per month
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11
Fee for transferring securities
VSD's members
Monthly
11.1
Fee for irregular transfer when the
investor settle the account
0.5 VND per security per transfer per
ticker symbol (not exceeding 500,000 VND per transfer per ticker symbol)
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11.2
Fee for irregular transfer for making
payment
0.5 VND per security per transfer per
ticker symbol (not exceeding 500,000 VND per transfer per ticker symbol)
12
Fee for right enforcement
The issuing organizations
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12.1
Fewer than 500 shareholders
5 million VND per right enforcement
12.2
From 500 shareholders to fewer than 1,000
shareholders
10 million VND per right enforcement
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12.3
From 1,000 shareholders to fewer than 5,000
shareholders
15 million VND per right enforcement
12.4
More than 5.000 shareholders
20 million VND per right enforcement
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13
Fee for error correction after
transaction
500,000 VND per transaction
VSD's members
Monthly
14
Fee for transferring the securities
ownership not via the transaction system of the Stock Exchange
VSD's members
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14.1
Securities transfer
a
Founding shareholders are restricted from
transfer as prescribed by law
0.1% of the traded value
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b
The transfers approved by competent State
agencies
0.1% of the traded value
14.2
Giving, donating, inheriting securities,
except for that between a husband and a wife, between a parent and a child,
between an adoptive parent and an adopted child, between a parent-in-law and
a son-in-law or daughter-in-law, between a grand parent and a grandchild,
between brothers and sisters.
0.1% of the traded value
For undeposited securities, the receiver of
the securities transfer shall pay the fee to VSD via the issuing organization
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15
The fee for principal and interest
payment of Government bonds through an intermediary
0.1% of the actual principal and interest
The issuing organizations
Monthly
4. Method of
calculation
4.1. The methods of
calculating some fees collected by the Stock Exchange:
4.1. The trader management fee
- The fee payable by each trader is 20
million VND per year
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Example: trader A is issued with the trader
certificate by HNX on June 10th 2010, then:
The fee payable by
trader A4
= 20 million x
6 months
12 months
4.1.2. Annual listing management fee
for:
The annual listing management fee
is calculated for the months of listing in the year of the listed company,
proportionally to the listed capital.
+ For companies applied for listing for the
first time, the listing management fee in the first year is calculated for the
remaining months in the year, as from the month succeeding the month when their
listing is approved.
+ When a company applies for additional
listing that leads to the change of the annual listing management fee, the
annual listing management fee additionally paid is also calculated for the
remaining months in the year, as from the month succeeding the month when their
listing is approved.
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
The annual listing
management fee payable in 2010
= 20 million x
6 months
12 months
- Example 2: On September 16th
2012, company A increases the listed value to 600 billion VND, the management
fee payable by company A in 2013 is:
= 20 million x
9 months
+
(20 million +
0.001% x 600 billion) x
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
12 months
12 months
4.1.3 Transaction fee:
a) The transaction fee for listed and
unlisted securities
The fee payable by
each trader in a month
=
Securities and fund
certificates transaction fee
+
Bond transaction
fee
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
=
Fee rate
x
Total traded value
of securities and fund certificates in a month
Bond transaction
fee
=
Fee rate
x
Total traded value
of bonds in a month
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
=
Value of purchased
securities
+
Value of sold
securities
b) The Government bond transaction fee:
- The fee repurchase of Government bonds
shall be collected in a lump sum when determining the first transaction.
- Fee for outright transaction of Government
bonds is calculated similarly to the bond transaction in section (a) above.
- The fee for Government bond transaction in
foreign currency shall be calculated in VND based on the inter-bank exchange
rates announced by the State bank of Vietnam on the transaction day.
4.1.4. Fee for online connection:
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- For new online traders, the annual fee for
maintaining the online connection is calculated for the remaining months as
from the month succeeding the month when the connection is granted.
Example: The trade A is accepted by HOS as an
online trader on October 20th 2010. Trader A must pay both the fee
for the first online connection being 150 million VND, and:
The fee for
online connection maintenance
= 50 million VND x
2 months
12 months
4.1.4. Fee for the use of terminal
devices:
The fee payable by
each trader every year
=
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
x
The quantity of
terminal devices used
In the first year, if the number of months of
using the devices is fewer than 12, the fee payable is calculated for the
remaining months as from the month succeeding the month when the use of the
devices is granted. In the year, if the traders that increase the quantity
terminal devices, the fee shall be calculated according to the quantity of
devices used, and starting from the month succeeding the month when the
quantity of terminal devices is increased.
Example: trader A is licensed to use 2
terminal devices on May 15th 2010. On February 02nd 2011,
trader A is licensed to use 3 devices, then:
- The fee for using terminal devices
payable by trader A in 2010
= 20 million VND x 2 x
7 months
12 months
- The fee for using terminal devices payable
by trader A in 2011:
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2 months
+ 20 million VND x 3 x
10 months
12 months
12 months
4.1.6 The fee for bidding Government
bonds:
- The fee for bidding Government bonds
payable by the issuing organization:
0.15%
x
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- The fee for bidding Government bonds in
foreign currency must be converted into VND according to the exchange rates on
the inter-bank foreign currency market on the last day of each issue.
4.2. The methods of
calculating some fees collected by VSD:
4.2.1. Depository member management
fees:
- The fee payable by each depository member
is 40 million VND per year
- For new depository members, the depository
member management fee payable in the first year is calculated according to the
remaining months in the year, as from the month succeeding the month when their
membership is approved.
- For members of whom the Certificates of
depository member have been revoked by VSD, the management fee payable in
a year is calculated according to the months when they are members of VSD
(until the month succeeding the month VSD issues the decision on revoking the
Certificate of depository member).
Example 1: Depository member A is issued with
the certificate of depository member by VSD on April 18th 2010,
then:
The management fee payable by
depository member A
= 40 million VND x
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
12 months
Example 2: Depository member B is has its
certificate of depository member revoked by VSD on August 20th 2010,
then:
The management fee
payable by depository member B
= 40 million VND x
7 months
12 months
4.2.2. Fee for securities depository
a) Fee for securities and fund
certificates depository:
Fee for de
depository of securities and fund certificates payable in a month
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
0.5 VND
x ∑Vi
30
i = 1->n is the days in the month with the
balance of deposited securities
Vi is the amount of deposited securities and
fund certificates of day i, determined by aggregating the deposited securities
balance of all securities depository accounts at level 2, level 3, including
the transactions, mortgages, pending payment, pending transaction… of the
brokerage activities as well ass proprietary trading of securities and fund
certificates.
The daily securities balance is calculated at
the end of the day based on the valid documents certified by VSD.
Example: Depository member A has a balance of
deposited securities of the days in a month as follows:
Day 1st : 250 (securities or fund
certificates)
Day 2nd: 150 (securities or fund
certificates)
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
.............................................................................
Day 31st: 200 (securities or fund
certificates)
Thus the fee for the depository of securities
and fund certificates payable in that month of depository member A is:
0.5 VND/30 x(250 + 150 + 400 +......+ 200)
b) The fee for bonds depository:
Fee for the bond
depository payable in a month
=
0.2 VND
x ∑Vi
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
i = 1->n is the days in the month with the
balance of deposited securities
Vi is the amount of deposited bonds of day i,
determined by aggregating the deposited securities balance of all securities
depository accounts at level 2, level 3, including the transactions, mortgages,
pending payment, pending transaction… of the brokerage activities as well ass
proprietary trading of bonds0.
The daily securities balance is calculated at
the end of the day based on the valid documents certified by VSD.
Example: Depository member C has a bonds
balance of the days in a month as follows:
Day 1st: 300 bonds
Day 2nd: 330 bonds
Day 3rd: 400 bonds
.....................................................
Day 31st: 1,200 bonds
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
0.2 VND/30 x(300 + 330 + 400 +.....+ 1,200)
4.2.3. Fee for transferring
securities:
The fee for each transfer of a ticker symbol
must not exceed 500,000 VND.
a) The irregular transfer when the
investor settle the account:
- The fee payer is a depository member that
makes the transfer
The fee for the transfer for settling the
member's account payable in a month: P= ∑Pi
Pi = 0.5 VND x ∑Vj
Pi is the fee for settling the account on day
i
i = 1->n are the days in the month when
the transfer for settling the account is made
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Vj is the total securities of code j on the
request for securities transfer of day I of the member that makes the transfer,
that the valid day for transferring has been certified by VSD.
- Example: depository member D makes the
transfer for settling his account in the month as follows:
Day 1st 2010: transfer 8,000
securities X and 5,000 securities Y to the securities company A à P1 = 0.5 VND x 8,000 securities + 0.5
VND x 5,000 securities = 6,500 VND
Day 5th : transfer 1,500,000
securities Y to the securities company B à P5 = 500,000 VND (Because 0.5 VND x 1,500,000 securities
=750,000 VND > 500,000 VND).
Thus the fee for the transfer for settling
D’s account payable in that month:
P1+ P5= 6,500 + 500,000= 506,500 (VND)
b) Irregular transfer for making
payment:
- Payers: the depository members that make
irregular securities sale during brokerage activities as well as proprietary
trading.
The fee for payment transfer payable in a
month: P= ∑Pi
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Pi is the fee for payment transfer on day i
i = 1->n are the days in the month when
the securities sale is made
j = 1->m are the ticker symbols that make
the sale on day i
Vj is the total securities of code j being
sold on day i according to the announcement of the transaction results of VSD.
- Example: in a month, depository member E
makes the following transactions:
+ Day 1st:
Ticker symbol X: Account A purchases 500
securities, account B purchases 1,000 securities
Ticker symbol Y: account A sells
600 securities, account B sells 200,000 securities à the fee
for payment transfer of symbol Y: 0.5 VND x (600 securities +200,000
securities) = 100,300 VND
Ticker symbol Z: account A
purchases 1,000 securities, account B sells 20,000 securities à the fee
for payment transfer of symbol X: 0.5 VND x 20,000 securities = 10,000 VND
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
P1= 100,300 VND+ 10,000 VND = 110,300 VND
+ Day 2nd:
Ticker symbol Y: account A sells
100,000 securities, account B sells 2,000,000 securities à the fee
for payment transfer of symbol Y is 500,000 VND (because 0.5 VND x (100,000
securities +2,000,000 securities) = 1,050,000 VND > 500,000 VND).
Ticker symbol Z: account A sells
1,000 securities, account B sells 50,000 securities, account C sells 10,000
securities à the fee for payment transfer of symbol Z: 0.5 VND x (1,000
securities +50,000 securities + 10,000 securities) = 30,500 VND
The fee for payment transfer on day 2nd
payable by member E:
P2= 500,000 VND+ 30,500 VND = 530,500 VND
+ ....
The fee for payment transfer in the month
payable by member E:
P1+ P2 +....= 110,300 VND + 530,500 VND +
....
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- The fee for right enforcement is calculated
based on the quantity of shareholders (whether they have or have not applied
for the depository) on the list of shareholders that exercise their rights made
by VSD at each announcement of the last registration day for enforcing the
rights of the issuance organizations.
- In case there are many announcements of the
right enforcement in a month, the total fee for right enforcement is the sum of
the fees for right enforcement.
4.2.5. The fee for error correction
after transaction:
The fee for error
correction
= 500,000 VND x n
Fee payers: the depository member that make
incorrect transactions that must be corrected.
n is the number of incorrect transactions
settled by VSD
4.2.6. The fee for transferring the securities
ownership not via the transaction system of the Stock Exchange
+ The fee for transferring securities
ownership is calculated based on the value of the securities ownership transfer
made via VSD, not the transaction system of the Stock Exchanges.
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
0.1% of the traded
value
Traded value
=
Amount of
securities being transferred
x security price
The security price is calculated as follows:
- For listed/registered shares: the security
price is the price written on the transfer contract, if it is not lower than
the reference price of securities on the day VSD makes the ownership transfer;
or the price approved by competent State agencies.
- For cases of giving, donation, inheritance,
or the contract is not transferable, or the price is lower than the reference
price of securities on the day VSD certifies the ownership transfer, the
reference price f securities on the day VSD makes the ownership transfer shall
apply.
- For unlisted securities, the security price
is the face value.
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- The fee for securities transfer where the
founding shareholder is restricted from transfer as prescribed by law, and the
transfer is approved by competent State agencies, applicable to both the
transferor and the transferee.
- The fee for securities transfer in this
case is paid via the depository member (where the transferor and the transferee
open their securities depository accounts).
b) The cases of ownership transfer for
giving, donation, and inheritance:
- The fee for securities transfer is only
applicable to the transferee
- The fee for securities transfer in this
case is paid via the depository member (where the transferor and the transferee
open their securities depository accounts – applicable to deposited
securities), or via the issuing organization (applicable to undeposited
securities).
c) The fee collected by VSD from the
securities transfer in case the founding shareholder is being restricted from
transfer as prescribed by law, and the transfer is approved by competent State
agencies, shall be distributed to the Stock Exchange at 50% of the fee
collected.
4.2.7. The fee for principal and
interest payment of Government bonds through an intermediary:
Payer: the issuing organization
The fee for principal and interest
payment of Government bonds through an intermediary payable by the issuing
organization
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
= 0.1% of the actual principal and
interest
The fee for principal and interest payment of
Government bonds through an intermediary in foreign currency must be
converted into VND according to the average exchange rates of the month when
the principal and interest arise.
5. The implementation
responsibility and reporting regime:
5.1. For periodic fees, at least 10 days
before the deadline for fee collection as prescribed, the Stock Exchange or VSD
must notify the fee payable to the fee payers for them to certify. The fee
payer must compare with the data and notify the Stock Exchange or SVD for
prompt correction if there is any mistake.
5.2. On the last day for fee collection at
the latest, the fee payer must transfer the fee amount to the account of the
fee-collecting organization notified by the fee-collecting organization.
5.3. The Stock Exchanges and VSD must provide
instruction and explanation for fee payers for them to correctly implement the
Circular No. 27/2010/TT-BTC dated February 26th 2010, on the fees
and the regime for collecting, paying, managing, and using the fees for
security activities, applicable to the Stock Exchanges and the Vietnam
Securities Depository; The Stock Exchanges, VSD, and fee payers are recommended
to send reports on the difficulties arising during the course of implementation
to the State Securities Commission for consideration and settlement.
5.4. The Stock Exchanges and VSD shall send
reports on the fee collection every quarter to the State Securities Commission
(according to the form enclosed herewith) on the 20th of the first
month of the succeeding quarter at the latest./.