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VIETNAM SECURITIES DEPOSITORY
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SOCIALIST
REPUBLIC OF VIET NAM
Independence - Freedom – Happiness
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No.:
47/QD-VSD
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Ha Noi, March
13, 2013
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DECISION
ISSUING
REGULATIONS ON REGISTRATION SECURITIES TRANSACTION CODE OF FOREIGN INVESTOR AT VIETNAM SECURITIES DEPOSITORY
GENERAL DIRECTOR VIETNAM SECURITIES DEPOSITORY
Pursuant to the Securities Law of June 29,
2006 and the Law amending and supplementing a number of Articles of the Law on
Securities of November 24, 2010;
Pursuant to Decision No. 171/2008/QD-TTg of
December 18, 2008 of the Prime Minister on the establishment of the Vietnam
Securities Depository;
Pursuant to Decision No. 1393/QD-BTC of June
04, 2009 of the Ministry of Finance on promulgating the Regulation on
organization and operation of the Vietnam Securities Depository;
Pursuant to Circular No. 213/2012/TT-BTC of
December 06, 2012 of the Ministry of Finance guiding the activities of foreign
investors on the Vietnamese stock market;
Pursuant to the Dispatch No. 815/UBCK-QLQ of
March 08, 2013 of State Securities Commission on the approval of regulations on
registration of securities trading code of foreign investors at Vietnam
Securities Depository.;
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DECIDES:
Article 1. Issuing together with this
Decision the Regulation on registration of securities trading code of foreign
investors at Viet Nam Securities Depository Center.
Article 2. This Decision takes effect
from its signing date and supersedes Decision No. 09/QD-TTLK of May 28, 2009 of
the Director of Securities Depository Center on promulgating the Regulation on
registration of securities trading code of foreign investors at Viet Nam Securities
Depository Center.
Article 3. Director of branch in Ho Chi
Minh City, the Head of Administrative Department, Head of Development Research
and International Cooperation Department, Head of Departments of Vietnam
Securities Depository and relevant organizations and individuals are liable to
execute this Decision . /.
GENERAL
DIRECTOR
Duong Van Thanh
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ON THE
REGISTRATION OF SECURITIES TRADING CODE OF FOREIGN INVESTORS AT VIETNAM
SECURITIES DEPOSITORY
(Issued together with Decision No. 47/QD-VSD of March 13, 2013 of the
General Director of Viet Nam Securities Depository Center)
Article 1. Purpose and scope of regulation
This Regulation guides the order and procedures
and dossier for registration of securities trading code, change of information
and cancellation of trading code of foreign investors at the Vietnam Securities
Depository (VSD).
Article 2. Dossier for registration of
trading code
1. The foreign investors shall register directly
or authorize depository member to register trading code at Vietnam Securities
Depository. The dossier for registration of trading code shall comply with
provisions in Article 4 of Circular No. 213/2012/TT-BTC dated December 06, 2012
of the Ministry of Finance guiding the operation of foreign investors on
Vietnamese securities market (hereafter referred to as Circular 213).
2. The dossier for registration of trading code
for foreign investors that are foreign securities companies shall be issued two
(02) trading codes and foreign investment funds managed by Multiple Investment
Managers Fund – MIMF may register a lot of trading codes as specified in Clause
1, 2, Article 3 of Circular 213.
2.1. In case a foreign securities company has
been issued one (01) trading code, the dossier for registration for additional
issuance of one (01) trading code includes documents specified at Point a,
Clause 1, Article 4 of Circular 213 and a copy of certificate of trading code
registration previously issued.
2.2. In case a foreign investment fund managed
by Multiple Investment Managers Fund – MIMF has been has been issued one (01)
trading code, the dossier for registration for additional issuance of one (01)
trading code includes documents specified at Point a, Clause 1, Article 4 of
Circular 213, a copy of certificate of trading code registration previously
issued and relevant documents specified in Annex 15 issued together with the
Circular 213.
3. After receiving valid and complete dossier
for registration of trading code, within five (05) working days for foreign
investors as organizations (including the case the investors register
additional trading code) and three (03) working days for foreign investor as
individuals and fund management companies, branches in Vietnam of foreign fund
management companies, Vietnam Securities Depository shall issue Certificate of
trading code to foreign investors under the form 01/MSGD of this Regulation
(applicable to the case the investors authorize the depository members to
register their trading codes directly at Vietnam Securities Depository); the
form 03/MSGD (applicable to the fund management companies, branches in Vietnam
of foreign fund management companies managing foreign portfolio and MIMF fund
authorizes depository members to register their trading codes); the form No.
04/MSGD (applicable to fund management companies, branches in Vietnam of
foreign fund management companies managing foreign portfolio and MIMF fund and
submitting dossier directly at Vietnam Securities Depository to register
trading code). In case the dossier for registration of trading code is invalid
and incomplete, Vietnam Securities Depository shall return it under the form
05/MSGD.
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1. Dossier for change of
information of foreign investors shall comply with provisions in Article 5 of
Circular 213.
2. In case the portfolios are
transferred between depository accounts (account closing) as defined at Point
b, Clause 1, Article 5 of Circular 213, dossier for the transfer of all
depository account closing includes the documents specified in Clause 2,
Article 5 of Circular 213 and Point a, b, e, Clause 4 and Clause 5, Article
24 of the Regulation on securities depository operation issued together with
Decision No. 38/QD-VSD dated April 25, 2012 of the General Director of Vietnam
Securities Depository.
3. After receiving valid and
complete dossier for change of information specified in Clause 1, Clause 2 of
this Article, within three (03) working days for the cases of change specified
in Clause 1, Article 5 of Circular 213 and two (02) working days for the case
of change specified in Clause 5, Article 5 of Circular 213. Vietnam
Securities Depository shall send written confirmation of the change in
information under the form 06/MSGD. For the case of change in
information to transfer the portfolio between depository accounts, Vietnam
Securities Depository shall send dispatch attached to the effective date of account
transfer.
Article 4.
Dossier for cancellation of trading code
1. The cancellation of trading
code shall comply with provisions in Clause 2, Article 6 of Circular 213.
2. Within one (01) working day
after receiving the written request of the State Securities Commission for the
case of cancellation of trading code specified at Point a, Clause 2, Article 6
of Circular 213 and within two (02) working days after receiving valid and
complete dossier for cancellation of trading code for the cases specified at
Point b, Clause 2, Article 6 of Circular 213, Vietnam Securities
Depository shall send written cancellation notice of trading code (under the
form 07/MSGD). In case the dossier is invalid and incomplete, Vietnam
Securities Depository shall return it under form 05/MSGD.
Article 5.
Rule to issue trading code
1. Foreign investors shall be
issued one (01) trading code, except for the case specified in Clause 2 of this
Article.
2. Foreign securities companies
may register two (02) trading codes: one (01) code for business accounts and
one (01) code for brokerage accounts. Foreign investment fund managed by Multiple
Investment Managers Fund – MIMF may register one trading code for portfolios
managed by one (01) fund management company.
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first character
01 following character
04 last characters
C: for foreign investment organizations
I: for foreign investors
Starting with s letter. When 04 last
characters run from 1-> 9999 then changing to A letter and the following
letters in the alphabet.
Marking in the actual arising order of trading
code (1->9999)
4. The
trading code issued by Stock Exchange, Vietnam Securities Depository before the
effective date of this Document shall not have to re-register according to the
rule of code issuance in this Regulation.
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Article 7. Implementation provision
1. Within six (06) months from the
effective date of Circular 213, Vietnam Securities Depository shall continue to
handle dossiers of foreign investors that have complied with provisions in
Decision No. 121/2008/QD-BTC of the Minister of Finance.
2. Any difficulty arising in the
course of implementation should be promptly reported to Vietnam Securities
Depository for guidance and settlement.
3. The amendment and
supplementation of this Regulation shall be decided upon by the General
Director of Vietnam Securities Depository after the approval of the State
Securities Commission.