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MINISTRY OF
FINANCE
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SOCIALIST REPUBLIC OF VIETNAM
Independence – Freedom – Happiness
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No. 494/QD-BTC
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Hanoi, 14
March 2016
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DECISION
ON PROMULGATING
REGULATIONS ON ACCESS TO AND CONFIDENTIALITY OF COUPON RATE BOUNDARIES AND
TENDER FOR GOVERNMENT BOND, GOVERNMENT BACKED BOND AND LOCAL AUTHORITY BOND
MINISTER OF FINANCE
Pursuant to the Government’s Decree No.
01/2011/ND-CP dated 05 January 2011 on the issuance of government bond,
government-backed bond and local authority bond;
Pursuant to the Government’s Decree No.
215/2013/ND-CP dated 23 December 2013 on the functions, duties, authority and
organizational structure of the Ministry of Finance;
Pursuant to the Circular No. 111/2015/TT-BTC
dated 28 July 2015 by Ministry of Finance on guidelines for the domestic
issuance of government bond;
Pursuant to the Circular No. 100/2015/TT-BTC
dated 29 June 2015 by Ministry of Finance on guidelines for the domestic
issuance of local authority bond;
Pursuant to the Circular No. 99/2015/TT-BTC
dated 29 June 2015 by Ministry of Finance on guidelines for the issuance of
government-backed bond;
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Pursuant to the Circular No. 56/2013/TT-BCA-A81
dated 13 November 2013 by Ministry of Public Security on the state secret list
and level of classification in the financial sector;
At the requests of the Heads of the Department
of Banking and Financial institutions,
DECIDES:
Article 1. The Decision is inclusive of the
regulation on access to and confidentiality of coupon rate boundaries and
tender for government bond, government-backed bond and local authority bond.
Article 2. This decision takes effect from
the date of signing.
Article 3. Chief of office of the Ministry,
head of the Department of Banking and Financial institutions, General Director
of the State treasury, heads of issuers of government-backed bond as per the
Law on public debt management and written guidelines, chairmen of People's committees
of provinces and centrally affiliated cities that issue local authority bond,
heads of agencies authorized by People’s committees of provinces and centrally
affiliated cities to issue local authority bond, General Directors of State
exchanges that organize tenders for government bond, government-backed bond and
local authority bond as per designation by Ministry of Finance, and concerned
entities are responsible for enforcing this Decision./.
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REGULATION
ON ACCESS TO AND
CONFIDENTIALITY OF COUPON RATE BOUNDARIES AND TENDER FOR GOVERNMENT BOND,
GOVERNMENT-BACKED BOND AND LOCAL AUTHORITY BOND
(Enclosed to the Decision No. 494/QD-BTC dated 14 March 2016 by Minister of
Finance)
Article 1. Scope of regulation
The Regulation stipulates the access to and
confidentiality of information on coupon rate boundaries and tender for
government bond, government-backed bond and local authority bond.
Article 2. Regulated entities
1. Issuers of government bond,
government-backed bond and local authority bond (referred to as the issuers)
comprise:
a) State treasury;
b) Vietnam Development Bank, Vietnam Bank for
Social Policies and other organizations that issue government-backed bond as
per the Law on public debt management and written guidelines;
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2. Department of Banking and
Financial institutions under Ministry of Finance (referred to the Department of
banking and financial institutions).
3. The office of the Ministry
of Finance
4. Stock exchanges organizing
tenders for government bond, government-backed bond and local authority bond as
per designation by Ministry of Finance (referred to as Stock exchanges).
5. Vietnam Securities Depository Center.
6. Heads of organizations and
personnel involved in bond issues by entities as defined in Section 1, Section
2, Section 3, Section 4 and Section 5 of this Article.
Article 3. Mandatory confidentiality
1. The coupon rate boundaries
of government bond, government-backed bond and local authority bond (referred
to as the coupon rate boundaries) as announced by Ministry of Finance from time
to time or for each bond issue.
2. The tender information of
bidders and their clients, including the volume and interest rate bid at each
tender for each issue number (referred to as tender information).
3. The successful bid
information of bidders and their clients, including the successful volume and
interest rate at each tender for each issue number (referred to successful bid
information).
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Article 4. Ratification, announcement, use and
documentation of coupon rate boundaries
1. Department of banking and
financial institutions shall lead the presentation of coupon rate boundaries in
periods or each bond issue to heads of the Ministry for approval. The office of
the Ministry shall be responsible for receiving and presenting the coupon rate
boundaries at secret level to the heads of the Ministry for approval.
2. The coupon rate boundaries
shall be announced by Ministry of Finance in writing. The written announcement
of the coupon rate boundaries shall be marked “Secret”.
3. The written announcement of
the coupon rate boundaries shall be prepared and processed at the Department of
banking and financial institutions:
a) The head of the Department of banking and
financial institutions shall be held responsible before the heads of the
Ministry of Finance for the preparation and processing of the written
announcement of the coupon rate boundaries according to Point d of this
Section;
b) The head of the Department of banking and
financial institutions shall assign specialized divisions and personnel to
prepare and process the written announcement of the coupon rate boundaries as
per Point d of this Section;
c) Specialized divisions and personnel assigned as
per Point b of this Section shall be responsible before the head of the
Department of banking and financial institutions for carrying out assignments
as defined in Point d of this Section;
d) Responsibilities for preparing and processing
the written announcement of the coupon rate boundaries shall include:
- Preparation and presentation
of the written announcement of the coupon rate boundaries at secret level;
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- Retention and security of
the written announcement of the coupon rate boundaries at secret level;
- Security of the coupon rate
boundaries at secret level.
4. The written announcement of
the coupon rate boundaries shall be used and secured by the issuer:
a) The head of the issuer shall be responsible for
the confidentiality of the written announcement of the coupon rate boundaries:
b) The head of the issuer shall assign specialized
divisions and personnel to use, manage and secure the written announcement of
the coupon rate boundaries at secret level as per regulations.
c) The specialized divisions and personnel given
duties as stated in Point b of this Section shall be responsible before the
head of the issuer for the confidentiality of the coupon rate boundaries.
Article 5. Use and confidentiality of
information on tender and successful bid
1. Issuers as defined in
Section 1, Article 2 of this Regulation
a) The head of the issuer shall be responsible for
assigning specialized divisions and personnel to access the electronic bidding
system of the Stock Exchange to facilitate bond issues;
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2. Department of Banking and
Financial institutions:
a) The head of the Department of banking and
financial institutions shall be responsible for assigning specialized divisions
and personnel to access the bidding system to monitor market circumstances for
administrating the coupon rate boundaries and developing the bond market.
b) The head of the Department of banking and
financial institutions shall be responsible before the heads of the Ministry of
Finance for the confidentiality of information on tender and successful bid.
Specialized divisions and personnel given duties as per Point a in this Section
shall be responsible before the head of the Department of banking and financial
institutions for the confidentiality of information on tender and successful
bid and for non-disclosure of any information to other entities in any manners.
3. Stock Exchanges:
a) Stock Exchanges shall provide electronic bond
tender services to participants in a bond tender. Issuers shall be given access
to the electronic tender system to obtain information on tender and successful
bid;
b) General Directors of Stock Exchanges shall be
responsible for assigning specialized divisions and personnel to receive and
process information on tender and successful bid as per Point a, Section 1 of
this Article.
b) General Directors of Stock Exchanges shall be
responsible before the heads of the Ministry of Finance for the confidentiality
of information on tender and successful bid. Specialized divisions and
personnel given duties as per Point b of this Section shall be responsible
before the General Director of the relevant Stock Exchange for the
confidentiality of information on tender and successful bid and for
non-disclosure of any information to other entities in any manners.
4. Vietnam Securities Depository Center:
a) The general director of Vietnam Securities Depository Center shall be responsible for assigning specialized divisions and
personnel to receive and process successful bid information to facilitate bond
depository services;
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Article 6. Enforcement
1. Chief of office of the
Ministry, head of the Department of Banking and Financial institutions, general
director of the State treasury, heads of issuers of government-backed bond as
per the Law on public debt management and written guidelines, chairmen of
People's committees of provinces and centrally affiliated cities that issue
local authority bond, heads of agencies authorized by People’s committees of
provinces and centrally affiliated cities to issue local authority bond,
general directors of State exchanges and concerned entities are responsible for
enforcing this Regulation.
2. Ministry of Finance shall
review and revise this Regulation according requisitions by the head of the
Department of Banking and Financial institutions./.