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HANOI STOCK
EXCHANGE
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SOCIALIST
REPUBLIC OF VIETNAM
Independence – Freedom – Happiness
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No. 606/QD-SGDHN
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Hanoi, September
29, 2016
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DECISION
REGULATIONS
ON INFORMATION DISCLOSURE AT HANOI STOCK EXCHANGE
GENERAL DIRECTOR OF HANOI STOCK EXCHANGE
Pursuant to Decision No. 01/2009/QD-TTg dated
January 2, 2009 of Prime Minister on establishment of the Hanoi Stock Exchange;
Pursuant to Charter of the Hanoi Stock Exchange
issued under Decision No. 2882/QD-BTC dated November 22, 2013 of Minister of
Finance;
Pursuant to the Law on Securities No.
70/2006/QH11 dated June 29, 2006;
Pursuant to Law on amendment to Law on
Securities No. 62/2010/QH12 dated November 24, 2010;
Pursuant to Law on Enterprises No. 68/2014/QH13
dated November 26, 2014;
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Pursuant to Decree No. 60/2015/ND-CP dated June
26, 2015 of the Government on amendments to Decree No. 58/2012/ND-CP dated July
20, 2012 on elaborating to Law on Securities and Law on amendments to Law on
Securities;
Pursuant to Circular No. 155/2015/TT-BTC dated
October 6, 2015 of Minister of Finance guiding information disclosure on
securities market;
Pursuant to Circular No. 123/2015/TT-BTC dated
August 19, 2015 of Minister of Finance guiding foreign investment in the
Vietnamese securities market;
Pursuant to Resolution No. 79/NQ-HDQT dated August
15, 2016 of the Board of Directors of the Hanoi Stock Exchange approving draft
Regulations on information disclosure at the Hanoi Stock Exchange;
Pursuant to Official Dispatch No. 5786/UBCK-PTTT
dated August 29, 2016 of the State Securities Commission approving issuance of
the Regulations on information disclosure at the Hanoi Stock Exchange;
At request of Director of Market Information
Department,
HEREBY DECIDES:
Article 1. Attach the Regulations on information disclosure at the
Hanoi Stock Exchange to this Decision.
Article 2. This Decision comes into force from the date of signing and
supersedes Decision No. 250/QD-SGDHN dated June 6, 2013 of the General Director
of the Hanoi Stock Exchange on issuance of Regulations on information
disclosure at the Hanoi Stock Exchange.
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PP. GENERAL
DIRECTOR
DEPUTY DIRECTOR IN CHARGE
Nguyen Thi Hoang Lan
REGULATIONS
INFORMATION
DISCLOSURE AT THE HANOI STOCK EXCHANGE
(Attached to Decision No. 606/QD-SGDHN dated September 29, 2016 of General
Director of the Hanoi Stock Exchange)
Chapter I
GENERAL PROVISIONS
Article 1. Scope and
regulated entities
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2. Regulated entities:
a) Listed organizations;
b) Registered organizations;
c) Member securities companies;
d) Exchange traded fund (ETF);
dd) Investors required to disclose information in accordance
with regulations and law, including:
- Investors who are insiders
of listed organizations, registered organizations, insiders of the ETF, and
individuals related to the insiders;
- Majority shareholders,
relevant individuals holding at least 5% of the outstanding shares with voting
rights of listed organizations, registered organizations; founding shareholders
of listed organizations and registered organizations during the period in which
they are restricted from transfer;
- Investors or groups of
relevant investors purchasing securities in order to become majority
shareholders of listed organizations, registered organizations;
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e) Other relevant organizations and individuals as
per the law.
Article 2. Definitions
In this Regulation, the terms below are construed
as follows:
1. “SSC” means the Social
Securities Commission
2. “HNX” means the Hanoi Stock
Exchange
3. “VSD” means the Vietnam
Securities Depository
4. “Website” means a
webpage/information portal
5. “E-mail” means electronic
mail
6. “ETF” means the Exchange
traded fund
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8. “Group of related foreign
investors” includes foreign organizations related to each other in accordance
with Clause 7 Article 2 of Circular No. 123/2015/TT-BTC dated August 19, 2015
of Minister of Finance guiding foreign investment in Vietnamese securities
market.
9. “Registered organization”
means an organization registering for trade on the Unlisted Public Company
Market (UPCoM) system.
10. “Listed organization”
means an organization that has their securities listed on the HNX.
11. “Member securities
company” means a securities company approved by the HNX to become a member of
the VSE trading listed securities; registered securities, and derivatives.
12. “Fund management company”
means a funding management company that lists ETF certificates on the HNX.
13. “Company information
management system” (hereinafter referred to as the “CIMS”) means the HXN’s
system that receives reports and disclosed information of listed organizations,
registered organizations, member securities companies, and fund management
companies.
14. “Trade date” and
“settlement date” shall conform to Clause 14 Article 2 of Circular No.
155/2015/TT-BTC and the following regulations:
- Regarding call option for
deposited securities: trade date shall be the date on which the parties request
transfer of call option at the depository participants; settlement date shall
be the date on which the VSD verifies the effect of the call option transfer.
- Regarding call option for
non-deposited securities: trade date shall be the date on which the parties
request transfer of call option at issuers; settlement date shall be the date
on which issuers verify the effect of the call option transfer.
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15. Decree No. 58/2012/ND-CP:
Decree No. 58/2012/ND-CP dated July 20, 2012 of the Government on elaborating
to Law on Securities and Law on amendments to Law on Securities.
16. Decree No. 42/2015/ND-CP:
Decree No. 42/2015/ND-CP dated May 5, 2015 of the Government on derivatives and
derivatives market.
17. Decree No. 60/2015/ND-CP:
Decree No. 60/2015/ND-CP dated June 26, 2015 of the Government on amendments to
Decree No. 58/2012/ND-CP dated July 20, 2012 of the Government on elaborating
to Law on Securities and Law on amendments to Law on Securities.
18. Circular No.
229/2012/TT-BTC: Circular No. 229/2012/TT-BTC dated December 27, 2012 of
Minister of Finance guiding establishment and management of exchange traded
fund.
19. Circular No. 200/2014/TT-BTC:
Circular No. 200/2014/TT-BTC dated December 22, 2014 of Minister of Finance
guiding accounting policies for enterprises.
20. Circular No.
123/2015/TT-BTC: Circular No. 123/2015/TT-BTC dated August 19, 2015 of Minister
of Finance guiding foreign investment in the Vietnamese securities market.
21. Circular No.
155/2015/TT-BTC: Circular No. 155/2015/TT-BTC dated October 6, 2015 of Minister
of Finance guiding information disclosure on securities market.
22. Circular No.
162/2015/TT-BTC: Circular No. 162/2015/TT-BTC dated October 26, 2015 of
Minister of Finance guiding public offering, offering of shares for swap,
issuance of shares for swap, issuance of additional shares, share repurchase,
sale of treasury share, and tender offer.
23. Circular No.
11/2016/TT-BTC: Circular No. 11/2016/TT-BTC dated January 19, 2016 of Minister
of Finance guiding Decree No. 42/2015/ND-CP dated May 5, 2015 of the Government
on derivatives and derivative market.
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Entities under Clause 2 Article 1 hereof shall
disclose information in accordance with Article 3 of Circular No.
155/2015/TT-BTC and the following regulations:
1. Entities under Points a, b,
c, and d Clause 2 Article 1 hereof shall disclose information on their website
while sending disclosed information to the SSC and the HNX and disclosing
information on websites of the SSC and the HNX. Information disclosed on
websites must be accompanied by date and time of disclosure.
2. Entities under Points dd
and e Clause 2 Article 1 hereof must send disclosed information to listed
organizations/registered organizations/fund management companies, SSC, and the
HNX when disclosing information. Founding shareholders must also send disclosed
information to VSD during the period in which the founding shareholders are
under transfer restriction.
3. Information of entities
under Point d Clause 2 Article 1 hereof shall be disclosed by fund management
companies.
4. Disclosure of information
shall conform to Circular No. 155/2015/TT-BTC, this Circular, and other
relevant regulations. Disclosed information must be presented in a coherent and
comprehensible manner in order to avoid causing confusion to shareholders and
the public.
In case an entity required to disclose information
submits disclosed information to the HNX using the wrong form, inaccurate
information, unclear information, etc. the HNX shall reject the information and
refuse to disclose information on website of the HNX.
5. In case of any change to
disclosed information, entities required to disclose information shall disclose
changed information, send official dispatches, and attach verification for the
new information to the SSC and the HNX.
Article 4. Information
disclosure language
1. Information disclosure
shall be implemented using Vietnamese. If disclosed information is in English,
the English sections only serve reference purpose.
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3. Entities under Points a, b,
and c Clause 2 Article 1 hereof shall disclose information in both Vietnamese
and English. The entities may disclose information in English as stated in this
Clause for a type or types of reports, disclosed information, and/or following
a specific pattern of their choosing and must inform the HNX on a voluntary
basis.
4. Guidance on disclosing
information in English is under Appendix on Guidance on disclosing information
in English attached hereto.
Article 5. Individuals
disclosing information
1. Individuals disclosing
information of entities that are required to disclose information shall comply
with Article 4 of Circular No. 155/2015/TT-BTC.
2. Individuals disclosing
information of related foreign investors and groups of related foreign
investors shall comply with Circular No. 123/2015/TT-BTC.
3. Organizations and
individuals authorized to disclose information from individual investors shall
submit power of attorney/authorization agreement satisfactory to regulations
and law to the HNX when disclosing information for the first time and issue
notice on termination of authorization when disclosing information for the last
time.
Article 6. Information
disclosure documents
Information disclosure documents in
physical/digital form must satisfy the following requirements:
1. For documents in physical
form:
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b) Legitimate documents are required to:
- For documents of
individuals: Bear full name and signature of the individuals;
- For documents of
organizations: Bear verification of competent individuals, including: title,
full name, signature of the competent individuals, and seal (if any).
2. For documents in digital
form:
Entities required to send disclosed information in
digital form to the HNX as follows:
a) Digital data must come in word/excel/pdf format
(word and excel files must use Unicode character set);
b) In case digital data is sent via the CIMS,
format of the disclosed information shall conform to regulations of the CIMS;
c) The maximum size of digital data is 15 MB, in
case size of digital data is greater than the maximum size, entities disclosing
information (other than individuals under Points dd and e Clause 2 Article 1
hereof shall provide the link to the website where the entirety of disclosed
information is uploaded.
Article 7. Means and methods of
sending disclosed information
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2. Methods of sending
disclosed information:
a) When entities disclosing information are
registered to the CIMS:
Organization registering to the CIMS may send their
disclosed information and information which they are authorized to disclose by
individuals required to disclose information (majority shareholders, founding
shareholders during the period in which they are under transfer restriction,
insiders, and related persons) via the CIMS.
Disclosed information sent via the CIMS must
exclude documents, except the following types of report:
- Annual audited financial
statement (for all entities under Points a, b, c, and d Clause 2 Article 1
hereof);
- Examined half-year financial
statement (for listed organizations, large-cap registered organizations, and
member securities companies);
- Examined financial adequacy
ratio report on June 30 and audited financial adequacy ratio report on December
31 (for member securities companies).
If unable to send disclosed information via the
CIMS due to force majeure such as network system, server malfunctioning,
inability to use digital certificates, etc., these entities are responsible for
sending disclosed information in written form via post service/in person while
sending digital form via e-mail within the deadline and notifying the HNX about
reasons for failure to send disclosed information via the CIMS.
b) When entities disclosing information are not
registered to the CIMS:
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Article 8. Delayed information
disclosure
The delay in information disclosure performed by
entities required to disclose information shall conform to Article 6 of
Circular No. 155/2015/TT-BTC.
Article 9. Preservation and
storage of reports and disclosed information
Entities required to disclose information shall
preserve and store reports, disclosed information in accordance with Clause 3
Article 3 of Circular No. 155/2015/TT-BTC.
Chapter II
INFORMATION DISCLOSURE
OF REGISTERED ORGANIZATIONS AND LISTED ORGANIZATIONS
Article 10. Information
disclosure of registered organizations
1. Periodic information
disclosure
Registered organizations shall disclose information
periodically in accordance with Article 8 of Circular No. 155/2015/TT-BTC and
the following regulations:
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b) Disclose information on foreign holdings in
accordance with Clause 5 Article 8 of Circular No. 155/2015/TT-BTC and Clause 4
Article 13 of Circular No. 123/2015/TT-BTC.
c) Registered organizations shall submit reports on
list of state shareholders and majority shareholders in the first 6 months and
the last 6 months of a calendar year. The report for the first 6 months of the
year relies on the latest list of shareholders by June 30 and must be submitted
to the HNX before July 30; The report for the last 6 months of the year relies
on the latest list of shareholders by December 31 and must be submitted to the
HNX before January 30 of the following year. The report shall be prepared using
Form No. 01_CBTT/SGDHN attached hereto.
d) Disclose information on the report on use of
funds:
Registered organizations conducting public
securities offering shall disclose information on the report on use of funds in
accordance with Clauses 6 and 7 Article 1 of Decree No. 60/2015/ND-CP, to be
specific:
- If a registered organization
conducts separate securities offering: The registered organization must
disclose report on the use of funds which is verified by auditor(s) at the
Shareholder general assembly or provide detail explanation for the use of
capital generated by the offering in the annual financial statement which is
verified by auditor(s).
- If a registered organization
conducts public securities offering: In case the registered organization
mobilizes capital to execute an investment project, the registered organization
must submit report using Form No. 5 under Appendix attached to Decree No.
60/2015/ND-CP and disclose information on the progress of utilizing capital
generated from the offering every 6 months from the date on which the offering
is complete to the date on which the project is finish or until the date on
which the mobilized capital has been fully disbursed. Registered organizations
must disclose reports on use of funds verified by auditor(s) at the Shareholder
general assembly or provide detail explanation for use of capital generated by
the offering in the annual financial statements verified by auditor(s).
2. Extraordinary information
disclosure
Registered organizations shall conduct
extraordinary information disclosure within 24 hours in accordance with Article
9 of Circular No. 155/2015/TT-BTC and the following regulations:
a) Regarding disclosed information regarding
changes, assignment, reassignment, or dismissal of insiders: Registered
organizations shall disclose information using Form No. 02_CBTT/SGDHN and Form
No. 03_CBTT/SGDHN attached hereto and attach decisions/resolutions on change of
personnel within 24 hours from the date on which the decisions/resolutions are
issued.
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c) Regarding disclosed information on revisions to
the Enterprise registration certificate, Establishment and operation license or
Operation license (Name of organization, address, charter capital, line of
business, legal representatives): Registered organizations shall disclose
information using Form No. 05_CBTT/SGDHN attached hereto and attach legitimate
copies of revised Enterprise registration certificate/Establishment and
operation license/Operation license.
d) In case registered organizations alter their
corporate structure (contributing capital to establish a company; buying stakes
of a company turning such company into a subsidiary, a joint venture company,
or an associate; selling stakes of its subsidiary, joint venture company, or
associate making such company no longer its subsidiary, joint venture company
or associate; dissolving of a subsidiary, a joint venture company, or an
associate), the registered organizations shall register using Form No.
06_CBTT/SGDHN attach hereto within 24 hours from the date on which decisions on
the alteration are issued in addition to disclosing information as per the law.
dd) In case registered organizations produce
separate/combined/consolidated financial statements, capital contribution
indicators of owners and total assets under financial statements to be
disclosed in accordance with Circular No. 155/2015/TT-BTC shall be the smaller
number among the separate/combined/consolidated financial statements.
e) Regarding events that require approval of
competent authority, registered organizations shall disclose information as per
the law from the date on which decisions/resolutions are issued, and disclose
information within 24 hours from the date on which written approval or
rejection of competent authority is receipt.
f) Disclose information about the last registration
date of rights to buy shares exercised by existing shareholders:
- Registered organizations
shall report to the HNX while disclosing information about the expected last
registration date of rights to buy shares exercised by shareholders and attach
relevant documents within 10 working days prior to the expected last registration
date.
- In case registered
organizations cancel the notice on the last registration date for
implementation of rights relating to rate of implementation, regarding cases
where issuing shares for existing shareholders and cases related to adjustment
of comparing price on the ex-right trade date in accordance with regulations of
the HNX, registered organizations shall provide written reason for the
cancellation within 24 hours after issuing the notice and at least 5 working
days prior to the last registration date and disclose information on
cancellation of the notice.
g) In case of changes to number of outstanding
shares with voting rights, registered organizations shall disclose information
in accordance with Point 1 Clause 1 Article 9 of Circular No. 155/2015/TT-BTC
and using Form No. 07_CBTT/SGDHN attached hereto.
h) Registered organizations are responsible for
disclosing quantity of outstanding shares with voting rights on their website
and updating the figure within 24 hours from the moment in which they submit
report on treasury stock issuance or trade results to the SSC or when other
cases which lead to changes to the quantity of outstanding shares with voting
rights occur.
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3. Information disclosure on
demand
Registered organizations shall disclose information
on demand in accordance with Article 10 of Circular No. 155/2015/TT-BTC.
Article 11. Information
disclosure of large-cap listed organization and registered organization
1. Periodic information
disclosure
Large-cap listed organizations and registered
organizations shall conduct periodic information disclosure in accordance with
Article 11 of Circular No. 155/2015/TT-BTC, Clause 1 Article 10 hereof, and the
following regulations:
a) Presentation of business operation results with
at least 5% of fluctuation specified under Points c and d Clause 4 Article 11
of Circular No. 155/2015/TT-BTC applies to net revenues and profit after tax under
income statements of large-cap listed organizations and registered
organizations.
b) For administration report under Clause 6 Article
11 of Circular No. 155/2015/TT-BTC, information disclosure serving the
6-monthly administration report must be done by July 30; information disclosure
serving the annual administration report must be done by January 30 of the
following year.
In addition to producing administration report
using Appendix No. 5 under Circular No. 155/2015/TT-BTC, listed organizations
must send digital Schedule of information on corporate governance using Form
No. 09_CBTT/SGDHN attached hereto in excel format to the HNX.
2. Extraordinary information
disclosure
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3. Information disclosure on
demand
Large-cap listed organizations and registered
organizations shall conduct information disclosure on demand in accordance with
Article 13 of Circular No. 155/2015/TT-BTC.
4. The starting and ending
points of information disclosure of a large-cap registered organization are
determined as follows:
a) The registered organization shall perform the
information disclosure obligation of large-cap registered organization from the
date on which the organization is mentioned under the list of large-cap public
companies publicized by the VSD.
b) Within 1 year from the date on which the
registered organization is no longer a large-cap registered organization
according to the list publicized by the VSD, the registered organization must
continue to disclose information in accordance with these Regulations.
c) Within 5 working days before the period in which
a large-cap registered organization is required to disclose information as per
the law expires, the registered organization shall send a notice on termination
of information disclosure applicable to large-cap registered organization using
Form No. 10_CBTT/SGDHN attached hereto to the HNX.
Article 12. Information
disclosure of organizations listing corporate bonds
Organizations listing corporate bonds on the HNX
shall disclose information in accordance with Article 15 of Circular No.
155/2015/TT-BTC and Clause 2 Article 10 hereof.
Chapter III
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Article 13. Information
disclosure of member securities companies
1. Periodic information
disclosure
Member securities companies shall conduct periodic
information disclosure in accordance with Article 17 of Circular
No.155/2015/TT-BTC and Points a, b, and d Clause 1 Article 10, and Point a
Clause 1 Article 11 hereof.
2. Extraordinary information
disclosure
Member securities companies shall conduct
extraordinary information disclosure in accordance with Article 18 of Circular
No. 155/2015/TT-BTC and the following regulations:
a) When disclosing information on changes,
assignment, reassignment, or dismissal of insiders: Member securities companies
shall disclose information using Form No. 02_CBTT/SGDHN attached hereto and
attach decisions/resolutions on personnel change.
b) With respect to events that require approval of
the SSC or other competent authority, member securities companies shall
disclose information as per the law when issuing decisions/resolutions and
disclose information within 24 hours from the date on which they receive
written approval/rejection from the SSC or other competent authority.
3. Information disclosure on
demand
Member securities companies shall conduct
information disclosure on demand in accordance with Article 19 of Circular No.
155/2015/TT-BTC.
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Member securities companies shall conduct other
information disclosure in accordance with Article 20 of Circular No.
155/2015/TT-BTC and the following regulations:
a) After a forced selling, securities companies
shall inform customers who are insiders and related persons of insiders to
enable the customers to perform information disclosure obligations as per the
law.
b) In case a member securities company cancels the
previously announced forced selling order, the member securities company shall
disclose information on cancellation of the forced selling order.
5. Securities companies that
engage in derivatives market must disclose information in accordance with
Decree No. 42/2015/ND-CP, Circular No. 11/2016/TT-BTC, and regulations and law
on derivatives in addition to the regulations mentioned above.
Chapter IV
INFORMATION DISCLOSURE
REGARDING THE ETF
Article 14. Disclosure of
information regarding the ETF
1. Periodic information
disclosure
Fund management companies shall conduct periodic
disclosure of information on the ETF in accordance with Clauses 1, 4, 5, and 6 Article
21 of Circular No. 155/2015/TT-BTC and Article 26 of Circular No.
229/2012/TT-BTC.
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Fund management companies shall conduct
extraordinary disclosure of information on the ETF in accordance with Article
22 of Circular No. 155/2015/TT-BTC.
3. Information disclosure on
demand
Fund management companies shall conduct disclosure
of information on the ETF on demand in accordance with Article 25 of Circular
No. 155/2015/TT-BTC.
Chapter V
INFORMATION DISCLOSURE
OF OTHER ENTITIES
Article 15. Information
disclosure regarding share ownership of majority shareholders
1. Organizations and related
individuals who start to hold at least 5% of outstanding shares with voting
rights of listed organizations or who are no longer majority shareholders or
who observe their share percentage shifted by more than 1% from the 5% mark
must disclose information in accordance with Article 26 of Circular No.
155/2015/TT-BTC.
The shift in share percentage by more than 1% from
the 5% mark mentioned under Clause 2 Article 26 of Circular No. 155/2015/TT-BTC
is determined at the 6% mark, 7% mark, 8% mark, etc. (regardless of the actual
share percentage according to the latest report).
2. In case ownership
percentage of outstanding shares with voting rights of majority shareholders
change after listed organizations and/or registered organizations trade
treasury stock or issue additional shares when investors do not trade shares or
do not exercise share purchase right, information disclosure according to
Clauses 1 and 2 Article 26 of Circular No. 155/2015/TT-BTC is not required.
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Founding shareholders shall disclose information in
accordance with Article 27 of Circular No. 155/2015/TT-BTC during transfer
restriction period.
Article 17. Information
disclosure regarding trade of insiders of listed organizations, registered
organizations, insiders of the ETF, and related persons of insiders
Insiders of listed organizations, registered
organizations, insiders of the ETF, and related persons of these entities shall
disclose information in accordance with Article 28 of Circular 155/2015/TT-BTC.
Article 18. Information
disclosure regarding swap between ETF certificates and shares for restructuring
Organizations and individuals swapping ETF
certificates and shares for restructuring shall disclose information in
accordance with Article 29 of Circular No. 155/2015/TT-BTC.
Article 19. Information
disclosure of foreign investors and related foreign investors
1. Foreign investors and
groups of related foreign investors shall disclose information in accordance
with Clause 12 Article 10 of Circular No. 123/2015/TT-BTC, Circular No.
155/2015/TT-BTC, and securities laws guiding foreign investment in Vietnamese
securities market.
2. Information disclosure
obligations of a group of related foreign investors depend on total share
percentage of the entire group of related foreign investors regardless of
individual share percentage of each related foreign investor.
3. An investor who acts both
as a majority shareholder and as an insider/related person of an insider is
responsible for complying with information disclosure obligations applicable to
insiders and related persons of insiders.
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Information disclosure regarding tender offer shall
conform to Chapter IV of Decree No. 58/2012/ND-CP and Chapter VI of Circular
No. 162/2015/TT-BTC, to be specific:
1. A listed
organization/registered organization that receives tender offer for its share
shall disclose information on the tender offer receipt in accordance with
Clause 1 Article 43 and Article 44 of Decree No. 58/2012/ND-CP.
2. An organization or
individual making tender offer for listed/registered securities shall disclose
information on the tender offer in accordance with Clause 1 Article 50 of
Decree No. 58/2012/ND-CP. Tender offer disclosure form shall conform to
Appendix No. 29 attached to Circular No. 162/2015/TT-BTC.
3. An organization or
individual making tender offer shall disclose information on revised tender
offer price in accordance with Clause 2 Article 48 of Decree No. 58/2012/ND-CP
and send the disclosed information to the HNX at least 7 days before the tender
offer period ends.
4. An organization or
individual that withdrawing tender offer for listed/registered securities in
accordance with Article 49 of Decree No. 58/2012/ND-CP shall disclose
information as follows:
a) Submit reports on withdrawal of tender offer for
listed/registered securities to the SSC and the HNX.
b) Report to the HNX within 24 hours after
receiving approval official dispatches of the SSC.
c) Disclose information on withdrawal of the tender
offer on an online newspapers or a physical newspaper for 3 consecutive issues
after obtaining approval of the SSC.
5. An organization or
individual making tender offer for listed/registered securities shall disclose information
on the tender offer in accordance with Clause 1 Article 50 of Decree No.
58/2012/ND-CP.
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6. An organization or
individual making tender offer shall disclose information on tender offer
results of listed/registered securities in accordance with Article 52 of Decree
No. 58/2012/ND-CP.
Within 5 days from the date on which the tender
offer period ends, an organization or individual making the tender offer shall:
a) Submit reports on tender offer results to the
SSC and HNX. Report on tender offer results shall be made using Appendix No. 30
attached to Circular No. 162/2015/TT-BTC.
b) Disclose information on tender offer results on
website of the HNX.
Article 21. Information
disclosure regarding treasury stock trade
Entities under Points a, b, and c Clause 2 Article
1 hereof, upon trading treasury stocks, shall disclose information in
accordance with Article 31 of Circular No. 155/2015/TT-BTC, Law on Securities,
Decree No. 58/2012/ND-CP, Decree No. 60/2015/ND-CP, Circular No.
162/2015/TT-BTC, and guiding documents.
In case a company repurchases its shares, if total
assets recorded in the accounting books decrease by more than 10% after
incurring the full payment of repurchased shares, the company must notify all
its creditors and disclose information within 15 days, from the date on which
the full payment is adequately incurred.
Chapter VI
PENALTIES FOR VIOLATIONS
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1. Imposing of penalties for
violations in information disclosure shall conform to Article 7 of Circular No.
155/2015/TT-BTC, these Regulations, and other regulations issued by the HNX.
2. The HNX holds the right to
impose appropriate penalties within their functions and powers depending on
violations in information disclosure mentioned hereunder.
3. For violations that are
particularly severe or exceed power of the HNX, the HNX shall report to the
SSC.
Article 23. Forms of penalty
1. Penalties for violations in
information disclosure at the HNX applicable to listed organizations and
registered organizations include:
a) Reprimand across the market;
b) Place securities under warning;
c) Place securities under control;
d) Restrict trade;
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e) Remove listed securities in accordance with
Regulations on listing securities at the HNX.
2. Penalties for violations in
information disclosure at the HNX applicable to member securities companies
include:
a) Reprimand in writing;
b) Warn;
c) Suspend trade connection;
d) Suspend trade in part or in whole;
dd) Enforce termination of membership in accordance
with Regulations on exchange members of listed and registered market at the
HNX.
3. Depending on the nature and
severity of the violations on a case-by-case basis and depending on relevant
laws and professional regulations of the HNX, the General Director of the HNX
shall decide on the penalties. Penalties under Clause 1 and Points c, d, and dd
Clause 2 of this Article shall be disclosed on website of the HNX.
Chapter VII
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Article 24. Implementation
1. Entities under Points a, b,
and c Clause 2 Article 1 hereof must declare roadmap for information disclosure
in English using form under Appendix guiding information disclosure in English
attached hereto before November 1, 2016.
2. If entities under Points a,
b, and c Clause 2 Article 1 hereof join the market after October 1, 2016, they
shall declare roadmap for information disclosure in English immediately after
receiving approval for listing/registration and approval for membership of the
HNX.
3. HNX shall supervise
compliance with these Regulations of entities required to disclose information
and relevant organizations, individuals.
4. In case regulations and law
relating to information disclosure obligations of entities under Clause 2
Article 1 hereof are not mentioned under this document or in case new
regulations and law contradict clauses in this document, these regulations and
law shall prevail and amend information disclosure obligations of the entities.
5. Amendment to the
Regulations shall be decided by the General Director of the HNX once the Board
of Directors of the HNX approves and obtains approval of the SSC.
LIST
OF CONTENTS
Ref
No.
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Appendix
Guide to information disclosure in
English
Form 01-PL/SGDHN
Announcement of information
disclosure in English
Form 02-PL/SGDHN
Announcement of termination of
Information disclosure in English
Form 01_CBTT/SGDHN
List of state shareholders and
majority shareholders
Form 02_CBTT/SGDHN
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Form 03_CBTT/SGDHN
List of insiders and their related
persons
Form 04_CBTT/SGDHN
Change in related persons of
insiders
Form 05_CBTT/SGDHN
Change in certificate of business
registration/License of establishment and operation/License of operation
Form 06_CBTT/SGDHN
Announcement of (change in)
corporate structure and financial statements
Form 07_CBTT/SGDHN
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Form 08_CBTT/SGDHN
Extraordinary information
disclosure
Form 09_CBTT/SGDHN
Information on corporate governance
Form 10_CBTT/SGDHN
Announcement of termination of
information disclosure as a large-cap public company
APPENDIX
GUIDE TO INFORMATION DISCLOSURE IN ENGLISH
(Attached to Decision No. ……/QD-SGDHN dated ……………, 2016 of the General
Director of the Hanoi Stock Exchange on Regulations on Information disclosure
at the Hanoi Stock Exchange)
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Entities to be disclosing information in English
are entities mentioned under Points a, b, and c Clause 2 Article 1 hereof.
2. Rules
Entities shall disclose information in English on a
voluntary basis and in a manner satisfies the followings:
a) Disclose roadmap for performing information
disclosure in English using Form No. 01_PL/SGDHN attached hereto and send to
the HNX in accordance with Article 24 hereof.
b) Disclose on their website while sending the
disclosed information to the HNX in order to have it disclosed on HNX’s
website.
c) Entities that no longer wish to disclose
information in English must immediately notify the termination of information
disclosure, specify the reason using Form No. 02_PL/SGDHN attached hereto and
send to the HNX.
3. Details of information
disclosure
Organizations disclosing information shall register
the contents and deadline for disclosing information for each type of
information under Form No. 01_PL/SGDHN attached hereto.
4. Methods of submitting
information disclosed in English to the HNX
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5. Responsibilities of
organizations applying for disclosing information in English
- Preventing the information
disclosed in English from contradicting or otherwise being understood
differently from that in Vietnamese.
- Disclose information and
send disclosed information to the HNX adequately and in a timely manner;
- Provide explanation at
request of the HNX for cases of inadequate or untimely information disclosure.
- Send notice on disclosing
information in English or terminating information disclosure in English before
the deadline.
6. Responsibilities of the
HNX
- Disclose the following
detail on HNX’s website:
+ Notice on disclosing information in English of
organizations that disclose information;
+ Information disclosed in English sent to the HNX
by organizations that disclose information;
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- Supervise information
disclosure in English of organizations as per the law.
7. Penalties for failure to
comply with the commitment
HNX shall reprimand entities that are required to
disclose information in writing for failure to adequately comply with the
commitment.
Form
01_PL/SGDHN
ORGANIZATION
NAME
-------
THE
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------
No:
/
………,
day ... month ... year ……
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ANNOUNCEMENT OF INFORMATION DISCLOSURE
IN ENGLISH
(Issued
with Appendix Guide to information disclosure in English)
To:
Hanoi Stock Exchange
1. Organization particulars:
- Name of organization:
- Stock code:
- Address:
- Tel.: Fax:
- E-mail:
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2. Start date of information
disclosure in English: From...
3. Types of information disclosed in
English (tick X where applicable):
No.
Type
of information
Disclosure
time
I
Periodical information
Concurrently with Vietnamese
version
Within 10 days of the disclosure of
Vietnamese version
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Annual financial statements
2
Semi-annual financial statements
3
Quarterly financial statements
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4
Annual report
5
Information on Annual General
meeting of shareholders
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Information on share offering and
reports on the use of proceeds
7
Foreign shareholding
II
Extraordinary information
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Within 03 days of the disclosure of
Vietnamese version
1
Board resolution
2
Dividend payment
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Information on change in the
company's corporate governance
4
Company's operating activities
5
Other information
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III
Disclosure on demand
Concurrently with Vietnamese
version
Within 02 days of the disclosure of
Vietnamese version
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4. Company's commitments
Apart from complying with the rules
on information disclosure as stipulated by law, ……(name of
company/organization) hereby commits to fulfill the obligations to disclose information
listed in this form.
Organization
representative
Legal representative/Person authorized to disclose
information
(Signature, full name, position, and seal)
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ORGANIZATION
NAME
-------
THE
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------
No:
/
………,
day ... month ... year ……
ANNOUNCEMENT OF TERMINATION OF
INFORMATION DISCLOSURE IN ENGLISH
To:
Hanoi Stock Exchange
1. Organization particulars:
- Name of organization:
...
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- Address:
- Tel.: Fax:
- E-mail:
- Website:
2. Start date of information
disclosure in English: From....
3. End date of information disclosure
in English: From...
4. Reason for terminating the
information disclosure in English:
...
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Form 01_SGDHN
(Issued with the Decision No ..../QD-SGDHN on ……, 2016
of the CEO of Hanoi Stock Exchange on the Information Disclosure Regulation of
Hanoi Stock Exchange)
ORGANIZATION
NAME
-------
THE
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------
No:
/
………,
day ... month ... year ……
LIST OF STATE SHAREHOLDERS AND
MAJORITY SHAREHOLDERS
To:
Hanoi Stock Exchange
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Record date:
No.
Name
of person/organization (name of representative)
Shareholder
type
ID
number
Date
of issue
Shareholding
(shares)
Shareholding
(%)
Notes
...
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Majority
shareholder
1
2
3
4
5
6
7
8
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Organization
representative
Legal representative/Person authorized to disclose
information
(Signature, full name, position, and seal - in case of organization)
Form 02_SGDHN
(Issued with the Decision No..../QD-SGDHN on ……, 2016 of the CEO
of Hanoi Stock Exchange on the Information Disclosure Regulation of Hanoi Stock
Exchange)
ORGANIZATION
NAME
-------
THE
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------
No:
/
………,
day ... month ... year ……
CHANGE IN PERSONNEL
...
...
...
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To:
Hanoi Stock Exchange
Based on Board Resolution
No....dated... and/or General Mandate No.... dated... of …… (name of organization),
we would like to announce the change in personnel of ........... (name of
organization) as follows:
In case of appointment (*):
Mr./Ms.:
- Former position in the
organization:
- Newly appointed position: …………………
- Term:
- Effective date:
In case of dismissal/resignation:
...
...
...
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- Dismissed/Resigned position: ………………
- Reason (if any):
- Effective date:
* Attached documents:
- Board Resolution and/or General Mandate on the change in personnel.
- List of related persons (Form 03_CBTT/SGDCK).
Organization
representative
Legal representative/Person authorized to disclose
information
(Signature, full name, position, and seal)
Form 03_CBTT/SGDHN
(Issued with the Decision No. ..../QD-SGDHN on ……,
2016 of the CEO of Hanoi Stock Exchange on the Information Disclosure
Regulation of Hanoi Stock Exchange)
ORGANIZATION
NAME
-------
...
...
...
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No:
/
………,
day ... month ... year ……
LIST OF INSIDERS AND THEIR RELATED
PERSONS
To:
Hanoi Stock Exchange
Stock code:
No.
Name
of person
Position/
Relationship
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
ID
number, Date of issue
Shareholding
(shares)
Shareholding
(%)
Appointment
date
Dismissal
date
Tel.
and Fax
1
2
3
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
5
6
7
8
9
10
1
Nguyen Van A
Insider
...
...
...
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1.1
Nguyen Thi B
Related person of Nguyen Van A
...
...
...
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1.2
Nguyen Van C
Related person of Nguyen Van A
...
...
...
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1.3
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
...
...
...
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2.1
...
...
...
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2.2
...
...
...
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* Notes:
1. Insiders are interpreted as in
clause 5 Article 2 Circular No.155/2015/TT-BTC.
2. If insiders are
representatives of the institutional investors and acting in BOD, BOM,
Supervisory Board, provide detailed information on the institution and the
representatives.
...
...
...
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4. Columns No 8, 9: Applicable to
insiders.
Organization
representative
Legal representative/Person authorized to disclose
information
(Signature, full name, position, and seal)
Form 04_CBTT/SGDHN
(Issued with the Decision No.../QD-SGDHN on ……, 2016 of the CEO of
Hanoi Stock Exchange on the Information Disclosure Regulation of Hanoi Stock
Exchange)
ORGANIZATION
NAME
-------
THE
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------
No:
/
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
CHANGE IN RELATED PERSONS OF INSIDERS
To:
Hanoi Stock Exchange
1. Insider
- Mr./Ms.:
- Current position:
2. Related person:
- Mr./Ms.:
- Address:
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- E-mail:
- Relationship/Former relationship
with insider:
- Reason for relationship/no longer
being related:
- Effective date:
Organization
representative
Legal representative/Person authorized to disclose
information
(Signature, full name, position, and seal)
Form 05_CBTT/SGDHN
(Issued with the Decision No.../QD-SGDHN on ……, 2016 of the CEO of
Hanoi Stock Exchange on the Information Disclosure Regulation of Hanoi Stock
Exchange)
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
THE
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------
No:
/
………,
day ... month ... year ……
CHANGE IN CERTIFICATE OF BUSINESS
REGISTRATION/LICENSE OF ESTABLISHMENT AND OPERATION/LICENSE OF OPERATION
To:
Hanoi Stock Exchange
Based on the Certificate of business
registration/License of Establishment and Operation/License of Operation No...
dated... issued by......., we would like to announce the change in the
Certificate of business registration/License of Establishment and Operation
/License of Operation as follow:
- Name of organization:
- Stock code:
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- Tel.: Fax:
- E-mail:
- Website:
1. Information before change:
2. Information after change:
3. Reason for change (if any):
4. Effective date:
* Attached documents:
New Certificate/License
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Form 06_CBTT/SGDHN
(Issued with the Decision No.../QD-SGDHN on ……, 2016 of the CEO of
Hanoi Stock Exchange on the Information Disclosure Regulation of Hanoi Stock
Exchange)
ORGANIZATION
NAME
-------
THE
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------
No:
/
………,
day ... month ... year ……
ANNOUNCEMENT OF (CHANGE IN) CORPORATE STRUCTURE AND
FINANCIAL STATEMENTS
To:
Hanoi Stock Exchange
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- Name of organization:
- Stock code:
- Address:
- Tel.: Fax:
- E-mail:
- Website:
I. Initial disclosed
information/Information before change:
1. Corporate structure (tick on
applicable option only):
□ Having no affiliates or sub-units
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
□ Having affiliates
□ Having affiliates and sub-units
2. Financial statements to be
disclosed (tick on the financial statements relevant to the type of business
chosen above):
□ Uncombined/Unconsolidated Financial
statements
□ Combined financial statements
□ Consolidated financial statements
II. Information after change
1. Corporate structure (tick on
applicable option only):
□ Having no affiliates or sub-units
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
□ Having affiliates
□ Having affiliates and sub-units
2. Financial statements to be
disclosed (tick on the financial statements relevant to the type of business
chosen above):
□ Uncombined/Unconsolidated Financial
statements
□ Combined financial statements
□ Consolidated financial statements
3. Reason for change:
4. Effective date:
We hereby certify that the
information provided is true and correct and we bear the full responsibility to
the law.
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
* Attached documents:
Documents on the changes in the registered
information.
Organization
representative
Legal representative/Person authorized to disclose
information
(Signature, full name, position, and seal)
Form 07_CBTT/SGDHN
(Issued with the Decision No.../QD-SGDHN on ……, 2016 of the CEO of
Hanoi Stock Exchange on the Information Disclosure Regulation of Hanoi Stock
Exchange)
ORGANIZATION
NAME
-------
THE
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------
No:
/
………,
day ... month ... year ……
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
To:
Hanoi Stock Exchange
- Name of organization:
- Stock code:
- Address:
- Tel.: Fax:
- E-mail:
- Website:
No.
Contents
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Change
After
change
Reason
for change
1
Charter Capital (VND)
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total number of shares
3
Number of treasury shares
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
4
Number of outstanding shares with
voting rights
5
Others (if any)
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
* Attached documents:
- Securities Registration Certificate on the
change/Other related documents
Organization
representative
Legal representative/Person authorized to disclose
information
(Signature, full name, position, and seal)
Form 08_CBTT/SGDHN
(Issued with the Decision No.../QD-SGDHN on ……, 2016 of the CEO of
Hanoi Stock Exchange on the Information Disclosure Regulation of Hanoi Stock
Exchange)
ORGANIZATION
NAME
-------
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
No:
/
………,
day ... month ... year ……
EXTRAORDINARY INFORMATION DISCLOSURE
To:
Hanoi Stock Exchange
1. Name of organization:
- Stock code:
- Address:
- Tel.: Fax:
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2. Contents of disclosure:
……………………………………………………………………………………………
(In case of correction or
replacement of previously disclosed information, explanation is needed)
3. This information was published on the
company’s website on …… (date), as in the link_:
We hereby certify that the information provided is
true and correct and we bear the full responsibility to the law.
* Attached documents:
Documents on disclosed information.
Organization
representative
Legal representative/Person authorized to disclose
information
(Signature, full name, position, and seal)
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
ORGANIZATION
NAME
-------
THE
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------
No:
/
………,
day ... month ... year ……
INFORMATION ON CORPORATE GOVERNANCE
To:
Hanoi Stock Exchange
No.
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Answer
1
General Information
Stock code
2
State shareholding (%)
3
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
(1): According to point a clause 1,
Article 134, Law on Enterprise 2014
□
(2): According to point b clause 1 Article
134, Law on Enterprise 2014
□
4
Does the company have Audit
Committee? (Yes/No)
5
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
6
Issue date of company’s Charter
(latest version)
7
Charter amended according to Law on
Enterprise 2014? (Yes/No)
8
Date of Annual/Extraordinary
General Meeting of Shareholders (if any)
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
9
Release date of documents for
General Meeting of Shareholders
10
Release date of General Mandate and Minutes of
General Meeting of Shareholders
11
Are there any complaints on the
organizing/General Mandate of the company's General Meeting of Shareholders?
(Yes/No)
...
...
...
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Số lần bị SGDCK nhắc nhở, lưu ý
liên quan đến việc tổ chức và công bố thông tin về Dại hội đồng cổ đông?
Number of times that the Exchange reminds the
company of the organizing and information disclosure on the General Meeting
of Shareholders?
13
Number of times that the State Securities
Commission reminds the company of the organizing and information disclosure
on the General Meeting of Shareholders?
14
Board of Directors
Number of Directors at present?
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
15
Number of independent Directors?
16
Percentage of independent
Directors/Total number of Directors?
17
Does Chair of the BOD concurrently hold
the CEO position? (Yes/No)
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Number of BOD meetings in the year?
19
Does the company establish committees directly
under the BOD? (Yes/No)
20
Names of committees directly under the BOD?
21
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...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
22
Supervisory Board
Internal Audit Department (in
case there is no Supervisory Board in the organization)
Number of members of supervisory board/auditors at
present?
23
Number of supervisors having qualifications of
accountants/auditors? Number of members of auditors being
accountants?(detailed list by person)
...
...
...
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Number of supervisors/auditors being related
persons of Directors, CEO and other executives (names of supervisors/auditors
being related persons of Directors and CEO, if any)
25
Number of supervisors/auditors holding executive
positions?
26
Number of supervisors/auditors who worked in the financial
and accounting department or as an auditor for the company within the last 3
years?
27
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...
...
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28
Other issues
Does the company's website provide sufficient
information to shareholders as stipulated? (Yes/No)
29
Does the company pay dividend within 6 months
since the end of the Annual General Meeting of Shareholders? (Yes/No)
30
...
...
...
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Organization
representative
Legal representative/Person authorized to disclose
information
(Signature, full name, position, and seal)
Form 10_CBTT/SGDHN
(Issued with the Decision No. .../QD-SGDHN on ……, 2016 of the CEO of
Hanoi Stock Exchange on the Information Disclosure Regulation of Hanoi Stock
Exchange)
ORGANIZATION
NAME
-------
THE
SOCIALIST REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------
No:
/
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
ANNOUNCEMENT OF TERMINATION OF INFORMATION
DISCLOSURE AS A LARGE-CAP PUBLIC COMPANY
To:
Hanoi Stock Exchange
1. Organization particulars:
- Name of organization:
- Stock code:
- Address:
- Tel.: Fax:
- E-mail:
...
...
...
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2. Date of becoming a large-cap public company:
From ………
3. Date of no longer being a large-cap public
company: From……...
4. Termination date of information disclosure as a
large-cap public company: From ………
Organization
representative
Legal representative/Person authorized to disclose information
(Signature, full name, position, and seal)