- Registration form given in the Appendix 01.
- Sample list of names and curriculum vitaes of experts in management of the online securities transaction system given in the Appendix 02.
- Sample design report of the online securities transaction system given in the Appendix 03.
- Authenticated copy of the consent letter and the report on testing of the online securities transaction system issued by a Stock Exchange to its members.
In comparison with regulations laid down in the Circular No. 87/2013/TT-BTC a lot of documents have been abandoned, such as:
- Standard form contract for online securities transaction services with clients and risk disclosure statement.
- Contingency plan for any damage or failure of the transaction system.
- System safety and quality assurance certificates.
- Technical documents on network access equipment, network interconnection equipment, software, hardware and other relevant equipment.
In addition, duration for grant of approval after receipt of all legally-required documents will be reduced to 20 working days (instead of 35 working days specified in regulations in force).
The Circular No. 134/2017/TT-BTC is set to commence on March 1, 2018.
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