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THE VIETNAM
SECURITIES DEPOSITORY
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THE SOCIALIST
REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
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No. 26/QD-VSD
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Hanoi, March 13,
2015
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DECISION
ON
PROMULGATING REGULATION ON SECURITIES DEPOSITORY OF THE VIETNAM SECURITIES
DEPOSITORY
GENERAL DIRECTOR OF THE VIETNAM SECURITIES DEPOSITORY
Pursuant to the Law on Securities dated June 29,
2006 and the Law on the amendments to a number of articles of the Law on
Securities dated November 24, 2010;
Pursuant to the Prime Minister’s Decision No.
171/2008/QD-TTg dated December 18, 2008 on the establishment of the Vietnam
Securities Depository;
Pursuant to the Decision No. 2880/QD-BTC dated
November 22, 2013 of the Minister of Finance to promulgate the Charter on
organization and operation of the Vietnam Securities Depository;
Pursuant to the Circular No. 05/2015/TT-BTC
dated January 15, 2015 of the Ministry of Finance on providing guidance on
registration, depository, offsetting and settlement of securities.
Pursuant to the Official Dispatch No. 1137A/UBCK-PTTT
dated March 13, 2015 of the State Securities Commission on the approval for the
Regulation of the Vietnam Securities Depository;
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DECISION
Article 1. Promulgate the Regulation on securities depository enclosed
with this Decision.
Article 2. This Decision comes into force from the day on which it is
signed and replaces the Decision No. 38/QD-VSD dated April 25, 2012 of the
General Director of the Vietnam Securities Depository on promulgating the
regulation on securities depository of the Vietnam Securities Depository and
the Decision No. 120/QD-VSD dated July 02, 2013 of the General Director of the
Vietnam Securities Depository on the amendments to the Regulation on securities
depository enclosed with the Decision No. 38/QD-VSD dated April 25, 2012 of the
General Director of the Vietnam Securities Depository.
Article 3. Managers of branches in Ho Chi Minh city, Heads of
Administration Department, Securities Depository and Member Management
Department, and other Departments of the Vietnam Securities Depository,
relevant organizations and individuals are responsible for implementing this
Decision./.
GENERAL
DIRECTOR
Duong Van Thanh
REGULATION
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Chapter I
GENERAL PROVISIONS
Article 1. Scope
This Regulation specifies the contents relating to
the securities depository at the Vietnam Securities Depository (hereinafter
referred to as “VSD”), including:
- Opening and managing securities deposit accounts;
- Depositing securities;
- Withdrawing securities;
- Non-trading securities transfer;
- Freezing and unfreezing securities.
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Depository participant is a securities
company or commercial bank operating in Vietnam granted the Certificate of
securities depository registration by the State Securities Commission
(hereinafter referred to as "SSC”) and approved to be a depository
participant by VSD.
Organizations opening accounts directly are
organizations that open deposit accounts directly at VSD and use VSD’s
depository, settlement and offsetting services according to the service
provision contracts with VSD.
Digital signature is a form of electronic
signature that is designed according to regulations of the Government's Decree
No. 26/2007/ND-CP dated February 15, 2007 detailing the implementation of the
Law on Electronic Transactions applicable to digital signatures and
authentication of digital signatures used by competent persons of VSD or
depository participants to authenticate the sent information.
Electronic documents are information about
operations at VSD that is created, sent, received, and stored by electronic
devices via electronic communication port or online communication port of VSD,
and authenticated by digital signatures of competent persons of VSD or
depository participants, organizations that open accounts directly. The
electronic documents in this Regulation include the following types:
+ Electronic reports and electronic transactions
are reports and transactions that are created and executed on the VSD's
system via VSD's electronic communication port;
+ Message Type (MT) and FileAct are
data files that contain information about operations and are
structured in accordance with the ISO15022 standard communicated via VSD's
online communication port.
Electronic communication port is an
application software environment that allows depository participants,
organizations opening accounts directly and VSD to exchange information about
operations in the form of electronic reports, electronic transactions
indirectly via workstations located at the head office or branches of
depository participants, organizations that open accounts directly and are
installed VSD’s software.
Online communication port is an application
software environment that allows depository participants, organizations opening
accounts directly and VSD to exchange information about operations in the form
of MT, FileAct directly between the operational system of depository
participants and organizations opening accounts directly and system of VSD.
Valuable papers are papers prescribed in law
on banking and used in monetary market operations between the State Bank and
depository clients.
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2. In case VSD fails to comply with a client’s
request due to technical reasons, VSD shall notify the depository
participant/organization opening accounts directly within 01 working day of the
reason and period during which VSD is not able to provide securities
depositing, withdrawal, transfer, freezing and unfreezing services.
Article 4. General regulations
on applications for securities deposit
1. Applications for securities deposit
(applications for depositing, withdrawing, transferring, freezing and
unfreezing securities, and adjusting investors’ information) must include
sufficient papers as prescribed, attached documents (if any) must be affixed by
the seal, the papers must provide sufficient information using the same ink
color, handwriting, and investors’ original signatures (if any). The
confirmation of depository participants/organizations opening accounts directly
on papers must provide seal, original signatures, and full names of the members
of the Board of Directors in charge of depository registered with VSD or of
authorized persons as prescribed in the Regulations on Depository participants
of VSD. In case the investor is an organization, its application form must bear
the signature of a competent person and its seal of that organization.
In case the investor is a foreign organization that
does not use the seal, according to the client’s identification at depository
participants, depository participants shall submit a document to VSD, stating
clearly that the foreign organization does not use the seal and confirming that
the signature on the applications for securities deposit is the signature of
the competent person of the foreign organization registered with depository
participants.
2. The securities holder who is a foreign
organization headquartered in a foreign country may use the instruction with
the SWIFT message for VSD's depository participants to replace the documents
that the investor needs to attach the relevant documents (such as notes of
securities transfer/withdrawal, application form for adjusting information,
etc.) when meeting the following conditions: (i) The SWIFT message contain
sufficient information according to forms prescribed in each specific operation
in this Regulation; (ii) the depository participant has translated and
confirmed the accuracy of the SWIFT message and attach other documents (if
any).
3. When authorizing another person to deposit
securities, the investor shall have a written authorization letter specifying
the scope of authorization. The written authorization in foreign languages must
be enclosed with notarized Vietnamese translations. In case the authorized
person is an organization, the papers relating to the securities depository
must include the signature of the competent person and seal of that
organization. Depository participants shall be responsible for checking the
legitimacy of the authorizations made by investors.
4. For depository participants, VSD shall process
the application for securities depository after receiving all valid papers
submitted by the depository participants in accordance with the regulations on
each operation in this Regulation and electronic documents submitted to VSD via
electronic communication port and online communication port.
5. For the organization opening an account
directly, VSD shall process the application for securities depository after
receiving all of its valid papers in accordance with the regulations on each
operation in this Regulation
Chapter II
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Article 5. Opening securities
deposit accounts of depository participants<0}
1. Article 5. The organizations registering as depository
participants of VSD shall open securities deposit accounts at VSD after
completing the procedures for depository participant registration as prescribed
in the Regulation on Depository participants of VSD.
2. VSD shall issue securities deposit account
numbers to depository participants in accordance with the Regulation on
Depository participants of VSD. Certificates of depository participants shall
be issued simultaneously.
3. Securities deposit accounts of depository
participants shall be opened by VSD as prescribed in Article 23 of the Circular
No. 05/2015/TT-BTC dated January 15, 2015 of the Ministry of Finance on
providing guidance on registration, depository, offsetting and settlement of
securities (hereinafter referred to as “Circular No. 05”).
4. Each depository participant of VSD may open a
securities deposit account at VSD, and shall not open secuirities deposit
accounts at depository participants, except for the case prescribed in Clause 1
Article 24 of the Circular No. 05.
Article 6. Opening securities
deposit accounts of investors
1. At each depository participant, the investor may
open a securities deposit account to trade in deposited securities except for
the cases prescribed in Article 7 of this Regulation.
2. The investor being a foreign organization or
individual shall open a securities deposit account at a depository participant
after being issued with a securities trading code in accordance with the
regulation on registration of securities trading code for foreign investors.
3. Opening a deposit account for a foreign investor
at a depository participant that is a commercial bank (hereinafter referred to
as “depository bank”) shall comply with the regulations of Circular No.
213/2012/TT-BTC dated December 06, 2012 on guiding operation of foreign
investors on Vietnamese securities market (hereinafter referred to as the
“Circular No. 213).
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Article 7. Opening deposit
accounts of other cases
1. Opening deposit accounts of asset management
companies:
a. An asset management company shall open a
separate securities deposit account for it and for each securities investment
fund under its management. Deposit accounts of securities investment funds
shall be opened at depository banks. For investment portfolio management, at
each depository bank, an asset management company may open two securities
deposit accounts under its name on behalf of the investor to entrust (including
one account entrusted to a Vietnamese investor, and one account entrusted to a
foreign investor).
b. In case an asset management company is using 01
securities deposit account at a depository bank for its financial investment
and for entrusted Vietnamese and foreign investors, it shall make an asset
declaration according to each subject, which then acts as a basis for VSD and
the depository bank to make transfers according to separate accounts prescribed
in Point a Clause 1 of this Article.
c. For the account entrusted to a foreign investor,
the asset management company shall apply for a securities trading code before
adopting the procedures for opening a deposit account.
2. Opening deposit accounts for foreign investment
funds, foreign organizations managed by multiple asset management companies:
The foreign investment fund or foreign organization
managed by multiple asset mangament companies may open many securities deposit
accounts according to the principle that each securities trading code issued
may be opened a securities deposit account at a depository bank.
3. Opening deposit accounts for the
investors that are foreign securities companies established under foreign law:
a. The investor being a foreign securities company
established under foreign law may open 02 securities deposit accounts at a
depository participant to separately manage the securities under its ownership
and its clients.
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4. Opening deposit accounts for 100% foreign-owned
insurance companies:
a. The 100% foreign-owned insurance company may
open 02 securities deposit accounts at a depository participant to separately
manage the investments from equity capital and from insurance premium when
investing in the securities market.
b. For the investments from equity capital, the
100% foreign-owned insurance company shall apply for a securities trading code
before adopting the procedures for opening a deposit account.
Article 8. Managing securities
deposit accounts of depository participants at VSD
1. Depository participants shall open securities
deposit accounts at VSD to trade in securities deposited at VSD as prescribed
in Article 25 of the Circular No. 05.
2. VSD shall manage deposit accounts of depository
participants at VSD as prescribed in Article 26 of the Circular No. 05.
3. Every month, VSD shall send information about
the balance of deposit accounts of (Form 01/LK of this Regulation) in the form
of electronic documents to depository participants in the first working day of
the next month. Depository participants shall be responsible for verifying the
information in accordance with the reporting regime of depository participants
in the Regulation on Depository participants promulgated by VSD.
4. Depository participants may request the
conversion of electronic documents into paper documents if necessary. The
converted documents are legal when satisfying the requirements for the
consistency of information about the original documents, converted identity
symbols, and signatures, full names of converters, which are prescribed in Part
IV of the Circular No. 78/2008/TT-BTC dated September 15, 2008 of the Ministry
of Finance providing guidance on the Government's Decree No. 27/2007/ND-CP
dated February 23, 2007 on electronic financial transaction.
VSD’s electronic documents converted into paper
documents shall carry the stamp as follows:
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TRUNG TÂM LƯU KÝ
CHỨNG KHOÁN VIỆT NAM
CHỨNG TỪ CHUYỂN
ĐỔI TỪ
CHỨNG TỪ ĐIỆN TỬ
Họ và tên:
Chữ ký:
Thời gian thực hiện chuyển đổi:
Article 9. Mangaging securities
deposit accounts at depository participants
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Article 10. Rules for managing
information about securities ownership of investors at VSD
1. VSD shall manage information about securities
ownership of investors based on:
a. Information about investors stored on the system
of VSD according to the information provided by depository participants when opening
accounts, adjustment of information about investors at the request of
depository participants, and information about issuers in the application for
securities registration, including: full name, identity of securities holder,
form of investment, nationality, address, and securities trading account
number;
b. Information about securities held by investors
shall be stored on the system of VSD according to the securities holder
register of the issuer under the management of VSD, and information updated
according to the arising transactions such as payments for securities
transactions, depository and transfer, and securities ownership transfer for
non-trading transactions or transactions that cannot be made via the
transaction system of Stock Exchanges as prescribed in current laws.
2. Identity of a securities holder prescribed in
Point a Clause 1 of this Article includes number and date of issue of valid
papers issued to the securities holder by a Vietnamese or foreign competent
authority, which are stored to monitor, identify and manage the information
about the securities holder in the system of VSD.
- For domestic individuals: ID numbers and dates of
issue;
- For domestic organizations: Numbers of
Certificates of Business registration or Numbers of Licenses for
establishment/Certificates of Investment registration and their dates of issue;
- For organizations being depository participants
of VSD: Numbers of Certificates of Membership issued by VSD and their dates of
issue;
- For foreign organizations/individuals: securities
trading codes and their dates of issue.
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- Vietnamese investors that reside abroad and adopt
foreign nationalities but still retain Vietnamese nationality shall be
registered as Vietnamese investors, and use their valid passports issued by a
Vietnamese competent authority to be used as identity;
- For investors that do not choose to adopt
Vietnamese nationality but foreign nationalities, the securities trading codes
shall be used as identity;
- In case an investor that adopted a foreign
nationality when opening an account at a depository participants wishes to register
as a domestic individual with the Vietnamese nationality, he/she shall adjust
the information at VSD in the form of domestic investment, and shall not use
the securities trading code and the deposit account issued previously (if any).
4. Every month, VSD shall send depository
participants information about the securities ownership of each client (Form
02/LK of this Regulation) in the form of electronic documents in the first
working day of the next month. Depository participants may request the conversion
of electronic documents into paper documents if necessary. The conversion shall
be carried out as prescribed in Clause 4 Article 8 of this Regulation.
5. Each depository participant shall be responsible
for comparing his/her information about the securities ownership and each
client’s at the depository participant with that information about the
securities ownership at VSD to ensure that the balance of each client’s deposit
account at the depository participant matches the information about securities
ownership of that client at VSD as prescribed in Clause 3, 4, 5 Article 26 of
the Circular No. 05 and verify the accuracy of information in accordance with
the regulation on reporting regime of depository participants in the Regulation
on Depository participants promulgated by VSD.
Article 11. Updating
information about the opening and closing of securities trading accounts of
investors
1. Depository participants shall be responsible for
updating VSD on the information about opening and closing of securities trading
accounts of investors every day at depository participants in the form of
electronic documents (Form 03A/LK and 03B/LK of this Regulation).
2. The update on information about investors
prescribed in Clause 1 of this Article must be given before investors make
transactions such as depositing, withdrawing, transferring, buying, selling
securities, etc. While conducting operations, VSD shall inform the depository
participant of the case where the information about an investor is not
available in the system of VSD, and the depository participant shall finish
updating the information about such investor within the day on which the
notification is received from VSD (at 4 P.M at the latest).
3. VSD shall verify information about investors
updated on the VSD’s system by depository participants at 8.30 A.M, 11.30 A.M,
and 4.30 P.M on working days. VSD shall send verfied information to depository
participants in the form of electronic documents.
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Article 12. Adjusting
information about investors
1. While updating information about opening and
closing of accounts and the conduct of operations on VSD’s system, if the
investors have the same identity of securities holders, but further information
such as full name, nationality, and form of ownership is different, it shall be
dealt with as follows:
a. VSD shall send a Request for the verification of
investor’s information (Form 04/LK of this Regulation) to the relevant
depository participant/issuer;
b. Depository participants shall send VSD the
verification of the information about investors, enclosed with the supporting
documents being valid copies of identity papers of investors as prescribed in
Clause 2, 3 Article 10 of this Regulation, and other supporting documents (if
any) within 01 working day after the day on which the Request sent by VSD is
received.
2. In case a depository participant sees a
difference between information about an investor under management of the
depository participant and that on VSD’s system, the depository participant
shall submit an application for the adjustment of investor’s information to
VSD. The application includes:
a. The Official Dispatch requesting for the
adjustment of investor’s information prepared by the member (Form 06/LK of this
Regulation) (02 copies);
b. Valid copies of identity papers of the investor
as prescribed in Clause 2, 3 Article 10 of this Regulation (not applicable to
the case adjusting the address);
c. Other relevant documents (if any).
3. In case a depository participant requests the
adjustment of both name and identity of an investor, which may lead to the
transfer of securities ownership outside the transaction system, apart from the
papers prescribed in Clause 2 of this Article, the depository participant shall
send the application form for the adjustment of investor’s information (Form
05/LK of this Regulation) and supporting documents for the investor’s account
information at the request of VSD.
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- The application form for the adjustment of
investor’s information (Form 05/LK of this Regulation);
- The Official Dispatch requesting the adjustment
of information about investor’s trading account number prepared by the
depository participant, clearly stating the reasons for adjustment;
- The request for securities transfer (Form 07/LK
of this Regulation) (02 copies);
- Copies of the documents proving the opening of
investor’s account;
- Other supporting documents (if any).
5. Within 01
working day from the day on which sufficient and valid papers are received, VSD
shall adjust investor’s information (if errors are found) and submit a report
on the adjustments to the depository participant.
6. In case the
foreign investor adjusts the information, the depository participant shall make
an application according to the regulation on applications and procedures
prescribed in the Circular No. 213 and VSD’s Regulation on registration of
securities trading code for foreign investors.
Article 13. Opening accounts
for organizations opening accounts directly
1. The following organizations may open accounts
directly at VSD:
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b) The institutions of credit institutions and
insurance participating in the bond market organized by the Stock Exchange;
c) Other entities as prescribed in VSD after being
approved by SSC.
2. Organizations opening an account directly
prescribed in Clause 1 of this Article shall open a securities deposit account
at VSD to deposit securities owned by themselves and may use the services of
registration, depository, offsetting and settlement of securities, excercising
of right of VSD ;
3. VSD shall issue securities deposit account
number and provide services relating to depository, offsetting and settlement of
securities and exercise the right to allow organizations opening accounts
directly according to the signed contract between the two parties. (Form 36/LK
of this Regulation); State Capital Investment Corporation shall perform this on
the basis of the written agreement between the two parties.
Article 14. Opening accounts
for special organizations
1. The following special organizations may open
accounts directly at VSD:
a) The State Bank;
b) The State Treasury
c) The securities depository center of other countries.
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3. The State Treasury shall open a securities
deposit account at VSD to deposit Government bonds owned by the State
Treasuries in order to serve operations relating to the State Treasuries.
4. The securities depository center of other
countries may open a securities deposit account at VSD to provide services relating
to the registration, depository, offsetting and settlement of securities based
on the written agreement with VSD after being approved by SSC.
5. VSD shall issue securities deposit account
number and provide services relating to depository, offsetting and settlement
of securities for special organizations on the basis of the written agreement
between the two parties.
Chapter III
SECURITIES DEPOSIT AND
WITHDRAWAL
Article 15. Securities
deposited at VSD
1. Securities deposited at VSD are securities registered
at VSD by their issuers.
2. Securities deposited at VSD shall be classified
as transferable securities and restricted securities (restricted from
transfer). The management of types of securities shall be performed as follows:
2.1. For the securities registered at VSD and
allowed to be traded on the Stock Exchanges according to the notification of
Stock Exchanges:
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a. The restricted securities shall be accounted
into securities accounts temporarily suspended from trading and securities
depository clients may trade in these securities when VSD adjusts the
conditions for transferring securities based on the issuer’s written request
enclosed with relevant supporting documents.
2.2. For the securities registered at VSD but not
allowed to be traded according to the notification of Stock Exchanges:
a. The transferable securities shall be accounted
into securities accounts awaiting trading and securities depository clients may
trade in these securities from the day on which the procedures for trading
securities on the Stock Exchanges are completed.
b. The restricted securities shall be accounted
into suspended securities accounts awaiting trading. Securities depository
clients may trade in these securities when VSD adjusts the conditions for
transferring securities based on the issuer’s written request and the
procedures for trading securities on the Stock Exchanges are completed.
2.3. For the securities registered at VSD but not
yet, not listing/registering their trading on the Stock Exchanges:
a. The transferable securities shall be accounted
into active securities accounts of public companies that do not list/register
their trading on the Stock Exchanges.
b. The restricted securities shall be accounted
into securities accounts temporarily suspended from trading of public companies
that are yet to, do not list/register their trading on the Stock Exchanges.
2.4. Based on the Confirmation of deposited
securities of VSD and the list of securities holders enclosed therewith, the
depository participants shall manage restricted securities in accounts
temporarily suspended from trading /suspended accounts awaiting trading of
clients at depository participants until VSD notifies the adjustment of the
conditions for transferring securities.
2.5. On the first securities trading date according
to the notification of Stock Exchanges and VSD, based on the Confirmation of
deposited securities of VSD and the list of securities holders or the list of
securities distribution to members made by VSD when distributing additionally
registered securities, the depository participants shall transfer securities
from accounts awaiting trading/suspended accounts awaiting trading to active
accounts/accounts temporarily suspended from trading.
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1. VSD shall deposit securities according to the
issuers' authorization given to VSD to verify information about investors’
securities ownership, thus depositing securities.
2. Clients’ securities depository at VSD (except
for the case depositing the Government bonds, bonds guaranteed by the
Government, local government bonds, treasury bills) shall comply with the
following principles:
a. Clients shall deposit securities into VSD
through the depository participants where they open accounts.
b. The depository participants shall be responsible
for adpoting procedures for receiving depository securities of clients and
re-depositing into VSD within one working day from the date on which a valid
application for securities depository of the client is received;
3. The procedures for depositing securities at VSD:
3.1. Securities depository certified by
Certificates of securities ownership:
a. The application for depositing securities at VSD
includes:
i. A note of securities transfer of the client or
depository participant (Form 08A/LK or 08B/LK or 08C/LK of this Regulation);
written authorization to deposit securities (if any).
ii. Certificates of securities ownership.
Certificates of securities ownership must be intact and clear, bear the seal of
the issuers or authorized body in case of adjustment of information about the
Certificates of securities ownership. iii. List of securities holders that
applies for securities depository (Form 09/LK of this Regulation) (02 copies)
made by the depository participant (applicable to the case where the depository
participant redeposits securities of investors that open accounts at the
depository participant).
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3.2. Securities deposited and registered
simultaneously:
a. VSD shall deposit securities and register
securities simultaneously if the issuer makes a request for the depository, on
behalf of shareholders, during the first securities registration or additional
registration at VSD;
b. The issuer shall notify investors of the
securities depository and securities registration within 15 working days before
the day on which the application for securities registration is submitted to
VSD. The notification shall be broadcasted on the mass media, listed at the
head office of the issuer, and sent to investors by post;
c. The investor wishing to deposit securities shall
send the issuer and depository participant an application form for the
certification of deposit account, and adopt the procedures for depositing
securities (Form 10/LK of this Regulation) enclosed with the Certificate of
securities ownership;
d. The issuer shall be responsible for withdrawing
Certificates of securities ownership from investors and making a list of
deposit accounts of investors and sending them to each relevant depository
participant in order to confirm the accuracy of the deposit accounts opened by
investors at the depository participant, and promise not to issue Certificates
of securities ownership to securities holders that apply for securities
depository.
e. The application for securities depository
enclosed with the issuer’s application for depository registration submitted to
VSD includes:
i. The application form made by the issuer for the
permission for shareholders to deposit and register securities simultaneously,
and the commitment not to issue Certificates of securities ownership to
securities holders that deposit securities simultaneously (Form 11/LK of this
Regulation);
ii. The list of securities holders that apply for
securities depository at each depository participant (Form 12/LK of this
Regulation) (02 copies) enclosed with a file in a format decided by VSD;
iii. The list of deposit accounts of investors
certified by relevant depository participants where investors open their
accounts (Form 13/LK of this Regulation).
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a. Investors participating in bidding or
guaranteeing Government bonds shall open deposit accounts to deposit bonds with
the bidding organizer or the Government bond issuer. The Government bond issuer
shall be responsible for recording the deposit accounts of investors in the
application for registration submitted to VSD. For the investor being the 100%
foreign-owned insurance company shall show the bidding organizer or the
Government bond issuer that the investment capital is equity capital or
insurance premium;
b. After the registration/additional registration
of Government bonds at VSD is approved, based on the information about the
deposit account in the application for the registration of Government bonds and
the issuer’s written certification of the full payment for bonds made by the
investor, VSD shall implement the accounting of the Government bonds to the
accounts of relevant depository participants/organizations opening accounts
directly.
4. VSD shall process an application for securities
depository as prescribed in point a Clause 3.1 of this Article within 01
working day and 02 working days as prescribed in Point b Clause 3.1 of this
Article from the day on which all valid papers of the depository participant
are received. For securities depositing as prescribed in Clause 3.2, 3.3 of
this Article, VSD shall implement the accounting of deposited securities in accounts
of relevant depository participants/organizations opening accounts directly on
the effective date of securities depository according to the notification of
the approval for securities depository sent to depository
participants/organizations opening accounts directly by VSD.
5. The effective date of depository is the date on
the Certificate of transfer of securities depository (Form 14/15/LK of this
Regulation) sent to depository participants/organizations opening accounts
directly by VSD. Certificates of securities ownership of investors shall expire
from the effective date of securities depository at VSD.
6. Within 01 working day from the effective date of
securities depository certified by VSD, depository participants shall be
responsible for notifying their clients of the cases whose securities
depository is rejected. In case the clients do not receive the notification of
rejection, they should know that the securities depository comes into force and
depository participants shall be responsible for their clients for this.
7. The depository of Exchange Traded Fund
Certificate (ETF Certificate) shall comply with the Regulation on exchange
trading, registration, depository, settlement, offsetting, excercise in
Exchange Traded Fund of VSD.
Article 17. Depositing
additionally registered securities
1. Additionally registered securities shall be
deposited after the issuer complete the additional securities registration and
adjustment of the Certificate of Securities Registration at VSD as prescribed
in the Regulation on securities registration issued by VSD.
2. For additionally registered securities derived
from securities deposited at VSD:
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b. When depositing the additionally registered
securities due to purchase order, VSD shall enclose the List of distribution of
securities to depository participants with the Certification of transfer of
additionally registered securities (Form 15/LK of this Regulation).
c. The effective date of securities depository is
the date written on the Certificate of transfer of additionally registered
securities. Based on the Certificate of transfer of additionally registered
securities and the List of distribution of securities to depository
participants, depository participants shall distribute securities to accounts
of securities holders.
Article 18. Withdrawing
securities at the request of securities holders
1. Securities holders shall request the withdrawal
of securities within the quantity of securities remaining in deposit accounts,
except for the securities that are being impounded or freezed.
2. a. The application for the withdrawal of
securities sent to VSD includes:
a. The application form for the withdrawal made by
a client/depository participant (Form 16A/LK or 16B/LK of this Regulation);
b. The list of securities holders that apply for
securities withdrawal (except for the case withdrawing securities on self-trading
account) made by the depository participants (Form 17/LK of this Regulation)
(02 copies).
3. Within 01 working day from the day on which the
depository participant’s sufficient and valid papers are received, VSD shall:
a. Verify information about the securities holder
withdrawing deposited securities in writing (Form 18/LK of this Regulation),
send it to the issuer and investors through the depository participant where
the account is opened, and to the relevant depository participant.
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4. The depository participants shall be responsible
for:
a. Send the written verification of information
about the holder withdrawing deposited securities to the relevant investor
within 01 working day from the day on which the written verification of information
about the holder withdrawing deposited securities of VSD is received, and
assist investors in receiving Certificates of securities ownership issued by
the issuer. <0}
b. Implement the accounting of withdrawal of
deposited securities on investor’s accounts based on the effective date of
VSD’s Certificate of withdrawal of securities.
c. The issuer shall be responsible for reissuing
Certificate of securities ownership to the securities holder according to the
information stated in the written verification of information about the holder
withdrawing deposited securities of VSD.
Article 19. Withdrawing
securities due to deregistration
1. Securities withdrawal due to deregistration
shall be made after the issuer completes the securities deregistration at VSD
according to the Regulation on securities registration issued by VSD.
2. In case there are securities being impounded and
freezed on the deposit accounts of the depository participants, VSD shall inform
the relevant depository participants of this (Form 20/LK of this Regulation).
3. On the day when the decision on securities
deregistration comes into force, VSD shall implement the accounting of the
decrease in the amount of deposited securities being deregistered in the
accounts of relevant depository participants/organizations opening accounts
directly at VSD and inform the depository participants/organizations opening
accounts directly of this. The effective date of securities withdrawal due to deregistration
is the date on the Certificate of withdrawal of deposited securities sent to
the depository participant/organizations opening accounts directly by VSD.
(Form 19/LK of this Regulation). The depository participants/organizations
opening accounts directly shall be responsible for implementing the accounting
the decrease in the amount of deposited securities being deregistered in the
accounts of relevant depository participants/organizations opening accounts
directly at VSD and inform the relevant investors (for depository
participants).
Chapter IV
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Article 20. Cases in which
securities are transferred
VSD shall transfer deposited securities without
using the concentrated transaction system of the Stock Exchanges in the cases
prescribed Clause 2 Article 32 of the Circular No. 05.
Article 21. Transferring when
buying odd-lot securities
1. VSD shall transfer odd-lot securities in case a
securities company repurchases odd-lot shares of securities holder without the
transaction system as prescribed in law.
2. The depository participant of the transferor
shall submit an application for the transfer of odd-lot securities to VSD,
including:
a. The application form for securities transfer
(Form 07/LK of this Regulation) (03 copies when transferring to another member
depository; 02 copies when transferring within the same member depository);
b. The contract/order to sell odd-lot securities
between the securities company and its clients;
c. The list of odd-lot securities transaction (in
case the securities company buys odd-lot securities from multiple clients)
(Form 21/LK of this Regulation).
3. When a securities company buys odd-lot
securities online, the application for the transfer includes:
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b. The copy of the client’s contract or annex of
the contract for opening an account which allows online odd-lot securities
transaction and bears the seal of the depository participant.
4. VSD shall process the application for the
transfer of odd-lot securities within 01 working day from the day on which the
valid and complete application is received.
Article 22. Transfering
securities at the request of clients
1. VSD shall transfer securities (including
securities under its ownership and arising rights that have been identified)
from the account of a client of a depository participant to the an account of a
client of another depository participant at the request of a client in the
following cases:
a. The investor wishes to close the deposit account
at a member to make transaction at another depository participant. (Transfer
securities when finalizing a deposit account).
b. The investor wishes to transfer all securities
in an account and arising rights (if any) under the ownership of the investor
at a depository participant to that investor’s account at another depository
participant. (Transfer all securities)
c. The investor wishes to transfer all/a/some
securities code(s) in an account and arising rights (if any) under the ownership
of the investor at a depository participant to that investor’s account at
another depository participant. (Transfer a part of securities)
2. Partial transfer of securities due to Exchange
Traded Funds shall comply with the Regulation on exchange trading,
registration, depository, settlement, offsetting, excercise in Exchange Traded
Fund Certificate of VSD.
3. The application for securities transfer (except
for the transfer to the foreign investor depositing securities at a depository
bank) includes:
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b. The application form for finalizing the client's
account (Form 24/LK of this Regulation) when the transfer is made to finalize
an account; the application form for transfering all securities of the client
(Form 25/LK of this Regulation) when transfering all securities; the
application form for transfering a part of securities of the client (Form 26/LK
of this Regulation) when transfering a part of securities;
c. Copies of the documents proving the opening of
investor’s account and bearing the seal of the depository participant of the
transferor.
4. In case an investor’s right arises while the
application is being processed at VSD, VSD shall inform request the depository
participant of this to supplement the papers prescribed in Point a, Clause 3 of
this Article.
5. The application for securities transfer due to
the transfer of portfolio between deposit accounts at the request of foreign
investor depositing securities at a depository bank includes:
a. The papers prescribed in Point a, b Clause 3 of
this Article.
b. The papers prescribed in the Circular No. 213.
The depository participant of the transferor and investor
shall be repsonsible for preparing reports on changes of the foreign investor
and then submit them to the depository participant of the transferor to
complete the application sent to VSD.
6. The depository participant of the transferor
shall control and take responsibility for the information about the information
about quantity and types of securities (transferable transfer and restricted
transfer) and the arising rights under the ownership of the investor that
request for securities transfer.
7. VSD shall process an application for securities
depository as prescribed in point a Clause 3.1 of this Article within 01
working day and 02 working days as prescribed in Point b Clause 3.1 of this
Article from the day on which all valid papers of the depository participant
are received.
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1. VSD shall transfer securities from the account
of the client, the account of the depository participant itself/account of the
organization opening accounts directly at VSD to the account of the
client/depository participant/organization opening accounts directly at the
State Bank and vice versa to serve the transaction of valuable papers on the
monetary market.
2. When transferring securities from a depository
participant/organization opening accounts directly to the State Bank, the
depository participant/organization opening accounts directly of the transferor
shall submit an application for the transfer to VSD, including:
(i) The application form for securities
transfer (Form 28/LK of this Regulation) (03 copies).
(ii) The written request for securities
transfer of the investor (when transfering securities to the client of the
depository participant).
3. When transferring securities from the State Bank
to a depository participant/organization opening accounts directly, the State
Bank shall submit an application form for securities transfer to VSD (Form
28/LK of this Regulation) (02 copies).
4. The transfer of securities being valuable papers
between VSD and Transaction Center of the State Bank shall be made in the form
of electronic transaction. The effective date of transfer of securities being
valuable papers is the date on which VSD and Transaction Center of the State
Bank confirm the transaction in the system.
5. VSD shall process an application for transfer of
securities being valuable papers within 01 working day from the day on which
all valid papers of the depository participant are received; the original
application for securities transfer shall be submitted to the State Bank within
01 working day after the effective day of securities transfer.
Article 24. Other transfers
1. Appointed transfer of securities when
withdrawing the Certificate of depository participant:
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The application for appointed transfer of
finalization of account includes:
a. The application form for securities transfer
made by the depository participant whose Certificate of depository participant
is withdrawn (Form 29/LK of this Regulation) (03 copies);
b. A valid copy of the agreement on the appointed
transfer between the organization that has its Certificate of depository
participant withdrawn and the appointed depository participant, or the written
approval for the appointed depository participant made by the State Securities
Commission;
c. The papers proving the provision of information
for clients about the appointed transfer to another depository participant.
2. Transfer of securities when the organization
opening accounts directly terminates the contract for supply of service with
VSD:
The application for securities transfer submitted
to VSD includes:
a. The Official Dispatch requesting the
finalization of the deposit account of the organization opening accounts
directly
b. The minute of liquidation of the contract for
supply of service between the organization opening an account directly and VSD;
c. The application form for securities transfer
(Form 22/LK of this Regulation) (03 copies);
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3. The application for securities transfer of the
100% foreign-owned insurance company from the deposit account for insurance
premium to the deposit account for equity capital and vice versa when finding
an error in registering capital sources for bidding Government bonds with the
bidding organizer/issuer of Government bonds, includes:
a. The Official Dispatch of the depository
participant of the transferor on the transfer of securities from the deposit
account for insurance premium to the deposit account for equity capital/ vice versa
of the 100% foreign-owned insurance company’s
b. The 100% foreign-owned insurance company’s
Offical Dispatch on the transfer of securities, including explanation and
commitments to be responsible for the transfer.
c. The application form for securities transfer
(Form 07/LK of this Regulation) (03 copies) made by the depository participant
of the transferor;
d. A copy of the contract with the 100%
foreign-owned insurance company to open the deposit account for insurance
premium and equity capital.
dd. Other relevant documents for clarifying
information provided in the application such as tender form, transfer
application for the purchase of the Government bonds, notification of the
bidding results,etc.
4. The application for securities transfer to
separate acccount for the foreign securities company and separate investemnt
portfolio of foreign investment fund managed by multiple asset management
companies (MIM Fund) to comply with the Cirular No. 213 when the foreign securities
company and MIM Fund are yet to separate account/investment portfolio,
includes:
a. The application form for securities transfer and
confirmed rights made by the depository participant of the transferor (Form
23/LK of this Regulation) (03 copies);
b. The application form for securities transfer and
confirmed rights made by the foreign securities company/MIM Fund (Form 27/LK of
this Regulation);
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5. The procedures for transferring securities due
to the adjustment of information about the type of securities, correction of
errors in quantity of securities under ownership, adjustment of information
about ownership due to the transfer of representation of capital state, due to
the transfer of ownership in the cases prescribed in Article 19 of the Circular
No. 05, shall be adopted as prescribed in the Regulation on securities
registration issued by VSD.
6. The procedures and application for transferring
securities that have been registered and deposited at VSD but have not been
listed/registered at the Stock Exchanges shall be adopted according to the
instructions provided by SSC.
7. Other transfers after being approved by SSC.
8. VSD shall process an application for securities
transfer within 03 working day as prescribed in Clause 1 of this Article and
within 01 working days as prescribed in Clause 2, 3, 4 of this Article from the
day on which all valid papers of the depository participant are received.
Article 25. Processing
applications for securities transfer
1. If necessary, VSD is entitled to request
depository participants and relevant organizations and individuals to provide
supporting documents to clarify the issues relating to the applications for
securities transfer, or to reject requests for securities transfer if such
requests are not in conformity with law. In case securities transfer is
rejected, VSD shall notify depository participants in writing and provide
explanation.
2. The effective date of securities transfer is the
date certified by VSD on the application form for securities transfer made by
the relevant depository participant or on the notification sent by VSD.
3. Within 01 working day from the effective date of
securities depository certified by VSD, depository participants shall be
responsible for notifying their clients of the cases whose securities transfer
is rejected.
Chapter V
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Article 26. Freezing and
unfreezing securities at the request of competent regulatory authorities
1. For the application form for freezing and
unfreezing securities from competent regulatory authorities directly submitted
to VSD:
a. VSD shall freeze/unfreeze securities at the
request of competent regulatory authorities as prescribed in law.
b. VSD shall process the application form for
freezing/unfreezing securities within 01 working day from the day on which the
application form for freezing/unfreezing securities is received.
c. Right on the day of freezing, unfreezing
securities, VSD shall fax the written notification to the depository
participant and the organization opening the account directly in order for them
to implement the accounting, the original notification shall be sent to the
depository participant and the organization opening the account directly within
01 working day after the date of freezing, unfreezing securities.
d. The depository participant shall be responsible
for informing the relevant client.
2. For the application form for freezing and
unfreezing securities from competent regulatory authorities directly submitted
to the depository participant:
a. The depository participant shall be responsible
for freezing and unfreezing securities in the deposit accounts opened at the
depository participant and sending VSD a notification (Form 30/LK of this
Regulation) and a copy of the application form for freezing and unfreezing
securities made by the competent regulatory authorities to implement the
accounting.
b. The deadline for the depository participant to
send a notification to VSD is at least 01 working day after the date of
complying with the competent authority’s request for freezing, unfreezing securities
of the investor.
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The procedures for freezing structured
securities to contribute capital to the establishment of the ETF Fund shall
comply with the Regulation on exchange trading, registration, depository,
settlement, offsetting, excercise in Exchange Traded Fund of VSD.
Article 28. Freezing,
unfreezing securities used as collateral for loan guarantee of investors, depository
participants, and organizations opening accounts directly:
1. 1. In case the investors using their securities
as collateral for loan guarantee at credit institutions, organizations opening
accounts directly/depository participants where the investors open securtities
deposit accounts shall be responsible for freezing and unfreezing securities in
their/client’s pledged securities accounts, and submitting an application for
freezing and unfreezing securities to VSD to implement the accounting at VSD.
2. The application for freezing securities
includes:
a. The application form for securities transfer and
freeze made by the depository participant/organization opening accounts
directly (Form 31/LK of this Regulation) (02 copies);
b. The application form for freezing securities
used as collateral for loan guarantee made by the client/depository
participant/organization opening accounts directly (Form 32/LK of this
Regulation) (02 copies);
c. The list of securities freezed as collateral for
loan guarantee confirmed by the credit institution (the lender) (Form 32/LK of
this Regulation):
3. The application for unfreezing securities
includes:
a. The application form for securities transfer and
unfreeze made by the depository participant/organization opening accounts
directly (Form 34/LK of this Regulation) (02 copies);
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4. VSD shall process the application form for
freezing/unfreezing securities used as collateral for loan guarantee of the
investor, depository participant, organization opening accounts directly within
01 working day from the day on which the application form made by the
depository participant/organization opening accounts directly is received.
Article 29. Transferring,
handling securities used as collateral for the loan guarantee
Procedures for transferring, handling securities
used as collateral for the loan guarantee shall be adopted as prescribed in
Regulation on securities registration issued by VSD.
Chapter VI
IMPLEMENTATION
Article 30. Implementation
1. Relevant parties shall contact VSD for guidance
and settlement of difficulties that arise during the implementation.
2. The amendments to this Regulation shall be
decided by the General Director of VSD after obtaining the approval from SSC.