THE MINISTRY
OF FINANCE
-------
|
SOCIALIST
REPUBLIC OF VIETNAM
Independence– Freedom – Happiness
---------------
|
No.:
73/2013/TT-BTC
|
Hanoi, May 29,
2013
|
CIRCULAR
GUIDING IN DETAILS A NUMBER OF ARTICLES ABOUT SECURITIES
LISTING AT THE DECREE NO. 58/2012/ND-CP DATED 20/7/2012 STIPULATING IN DETAILS
AND GUIDING THE IMPLEMENTATION OF A NUMBER OF ARTICLES OF THE SECURITIES LAW
AND THE LAW AMENDING AND SUPPLEMENTING A NUMBER OF ARTICLES OF SECURITIES LAW
Pursuant to the Law on
Securities No. 70/2006/QH11 dated June 29, 2006;
Pursuant to the Law amending
and supplementing a number of articles of Law on Securities No. 62/2010/QH12
dated November 24, 2010;
Pursuant to the Law on Enterprise
No. 60/2005/QH11 dated November 29, 2005;
Pursuant to the Decree No.
58/2012/ND-CP dated 20/7/2012 stipulating in details and guiding the
implementation of a number of articles of the securities law and the law
amending and supplementing a number of articles of securities law;
Pursuant to the Goverment's
Decree No. 118/2008/ND-CP dated November 27, 2008 defining the functions,
tasks, powers and organizational structure of the Ministry of Finance;
At the proposal of Chairman of
State Securities Commission;
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Chapter 1
GENRAL
PROVISIONS
Article 1.
Scope and subjects of regulation
This Circular prescribes on
conditions for listing of joint-stock companies formed after the course of
consolidating, merging enterprises and dossier of registering for listing
securities at the Stock Exchanges (SEs) of Ho Chi Minh city and Hanoi.
Article 2. Interpretation of terms
1.
Companies in
the same organizational type are companies that have the same organizational type of
enterprises such as: joint-stock companies, limited liability companies.
2. Consolidation of enterprises
means case where two or several companies
in the same organizational type (hereinafter referred to as the consolidated
companies) consolidate into a new company (hereinafter referred to as the
consolidation company) by transfering all assets, rights, obligations and
lawful benefits to the consolidation company, and terminating the existence of
the consolidated companies as prescribed in Article 152 of the Law on
enterprises No. 60/2005/QH11.
3. Merger of enterprises means case where one or several companies in the same organizational
type (hereinafter referred to as the merged companies) merge into other company
(hereinafter referred to as the company receiving merger) by transfering all
assets, rights, obligations and lawful benefits to the company receiving
merger, and terminating the existence of the merged company (ies) as prescribed
in Article 153 of the Law on enterprises No. 60/2005/QH11.
4. Phrases of “company” and
“enterprise” are used in the same meaning at this Circular.
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CONDITIONS FOR LISTING SECURITIES OF JOINT-STOCK
COMPANIES FORMED AFTER THE COURSE OF CONSOLIDATING OR MERGING ENTERPRISES
Article 3.
Conditions for securities listing at the Stock Exchange (SE) of Ho Chi Minh
city of joint-stock companies formed after the course of consolidating or
merging enterprises
1. Conditions for stock listing
1.1. Conditions for stock listing of companies formed after consolidating enterprises
a. Companies formed after
consolidating two (02) or several enterprises which are companies listing at
the Stock Exchange (SE) of Ho Chi Minh city must satisfy conditions specified
in points a, c, d, dd and e clause 1 Article 53 of the
Decree No. 58/2012/ND-CP.
b. Companies formed after
consolidating two (02) or several enterprises of which at least one company
listing at the Stock Exchange (SE) of Ho Chi Minh city and at least one company
not listing at the Stock Exchange (SE) of Ho Chi Minh city must satisfy
conditions specified in points a, c, d, dd and e clause 1
Article 53 of the Decree No. 58/2012/ND-CP; concurrently the unlisted company
(ies) must satisfies conditions of having at least two (02) years operating
under form of joint-stock company, counted to the time when the company formed
after consolidation is granted Certificate of Business registration; the rate
of post-tax profit on equity capital (ROE) in the last year is not less than
05% and the business operation of two (02) years preceding the consolidation
year must have interest; having no payable debts that are overdue more than one
(01) year; having no accumulated losses counted to the consolidation year;
complying with regulations of law on accounting and financial statement.
c. Companies formed after
consolidating two (02) or several enterprises which are not companies listing
at the Stock Exchange (SE) of Ho Chi Minh city must satisfy fully conditions
specified in clause 1 Article 53 of the Decree No. 58/2012/ND-CP.
1.2. Conditions for stock listing
of companies formed after merging enterprises
a. If the company receiving merge
and the merged companies are companies listing at the Stock Exchange (SE) of Ho
Chi Minh city, the company formed after merging must implement registration for
modification of listing.
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b1. The merged company meets the
following conditions: Having at least two (02) years operarted under form of
joint-stock company counted to the time when the company formed after merger is
granted Certificate of Business registration; the rate of post-tax profit on
equity capital (ROE) in the last year is not less than 05% and the business
operation of two (02) years preceding the consolidation year must have
interest; having no payable debts that are overdue more than one (01) year;
having no accumulated losses counted to the consolidation year; complying with
regulations of law on accounting and financial statement.
b2. If the merged company fails to
meet conditions specified in the point b1 as mentioned above, it must have the
ROE rate on the audited annual consolidation financial statement or the audited
semi-year consolidated financial statement (made after time of merger) of the
company formed after merger is not less than 05% or have the ROE rate being
positive on the audited annual consolidated financial statement (made after
time of merger) and more than the ROE rate on the audited annual financial
statement of the last year of the company receiving merger.
b3. If the merged company and the
ROE rate of the company formed after merger fail to satisfy the above
conditions, quantity of shares issued additionally (corresponding to the
capital of the merged company) are only entitled to list additionally after one
(01) year from the time when the company formed after merger is granted
Certificate of Business registration.
c. If the company receiving merger
is not company listing at the Stock Exchange (SE) of Ho Chi Minh city, the
company formed after merger must satisfy fully conditions specified in clause 1
Article 53 of the Decree No. 58/2012/ND-CP.
2. Conditions
for listing bonds after consolidating/merging enterprises
The company formed after
consolidating/merging may register the bond listing as prescribed in clause 2
Article 53 of the Decree No. 58/2012/ND-CP.
Article 4.
Conditions for listing securities at the Stock Exchange (SE) of Hanoi of
joint-stock companies formed after the course of consolidating or merging
enterprises
1. Conditions
for stock listing
1.1. Conditions for stock listing
of companies formed after consolidating enterprises
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b. Companies formed after
consolidating two (02) or several enterprises of which at least one company
listing at the Stock Exchange (SE) of Hanoi and at least one company not
listing at the Stock Exchange (SE) of Hanoi must satisfy conditions specified
in points a, c, d and dd clause 1 Article 54 of the Decree No. 58/2012/ND-CP;
concurrently the unlisted company (ies) must satisfies conditions of having at
least one (01) year operating under form of joint-stock company, counted to the
time when the company formed after consolidation is granted Certificate of
Business registration; the rate of post-tax profit on equity capital (ROE) in
the year preceding the consolidation year is not less than 05%; having no
payable debts that are overdue more than one (01) year; having no accumulated
losses counted to the consolidation year; complying with regulations of law on
accounting and financial statement.
c. Companies formed after
consolidating two (02) or several enterprises which are not companies listing
at the Stock Exchange (SE) of Hanoi must satisfy conditions specified in clause
1 Article 54 of the Decree No. 58/2012/ND-CP.
1.2. Conditions for stock listing
of companies formed after merging enterprises
a. If the company receiving merge
is company listing at the Stock Exchange (SE) of Hanoi and the merged companies
are companies listing at the Stock Exchange (SE), the company formed after
merging must implement registration for modification of listing.
b. If the company receiving merge
is the listed company at the Stock Exchange (SE) of Hanoi, but the merged
companies are not companies listing at the Stock Exchange (SE), the company
formed after merging will be entitled to implement registration for listing to
supplement the swap shares of the merged company when:
b1. The merged company must
satisfy conditions of having at least one (1) year operarted under form of
joint-stock company counted to the time when the company formed after merger is
granted Certificate of Business registration; the rate of post-tax profit on
equity capital (ROE) in the year preceding the merger year is not less than
05%; having no payable debts that are overdue more than one (01) year; having
no accumulated losses counted to the consolidation year; complying with
regulations of law on accounting and financial statement.
b2. If the merged company fails to
meet conditions specified in the point b1 as mentioned above, it must have the
ROE rate on the audited annual consolidation financial statement or the audited
semi-year consolidated financial statement (made after time of merger) of the
company formed after merger is not less than 05% or have the ROE rate being
positive on the audited annual consolidated financial statement (made after
time of merger) and more than the ROE rate on the audited annual financial
statement of the last year of the company receiving merger.
b3. If the merged company and the
ROE rate of the company formed after merger fail to satisfy the above
conditions, quantity of shares issued additionally (corresponding to the
capital of the merged company) are only entitled to list additionally after one
(01) year from the time when the company formed after merger is granted
Certificate of Business registration.
c. If the company receiving merger
is not company listing at the Stock Exchange (SE) of Hanoi, the company formed
after merger must satisfy fully conditions specified in clause 1 Article 54 of
the Decree No. 58/2012/ND-CP.
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The company formed after consolidating/merging may register the bond
listing as prescribed in clause 2 Article 54 of the Decree No. 58/2012/ND-CP.
Chapter 3
DOSSIERS OF AND
PROCEDURES FOR LISTING REGISTRATION AT THE STOCK EXCHANGE
Article 5.
Dossiers of and procedures for listing registration at the stock exchange
1. Conditions
for registration for stock listing:
1.1. Dossier of registration for
stock listing at the first time:
a. Dossier of registration for
stock listing as prescribed in points b, dd, e, g, h, i, k clause 2 Article 57
of the Decree No. 58/2012/ND-CP;
b. Written registration for stock
listing made according to the Appendix No. 01 (a);
c. Book of shareholder
registration made within one (01) month before the time of submitting dossier
for the listing registration enclosed with the list of major shareholders,
internal shareholders, strategy shareholders (quantity, the rate of hold
shares, time of transfer limit (if any)) and list of relevant persons of major
shareholders, internal shareholders;
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1.2. Dossier of registration for
stock listing of companies formed after consolidating:
a. In case where companies formed
after consolidating two (02) or several enterprises which are companies listing
at the Stock Exchange:
- Dossier of
registration for listing complies with clause 1.1 of this Article, exclude
Appendix VI, VII about the audit report and financial statements at prospectus;
- Consolidation
contract as prescribed by the Law on Enterprise;
- Written
consent of competent state agencies for the consolidation of enterprises (in
case it is required to have the consent of competent state agencies).
b. In case where companies formed
after consolidating two (02) or several enterprises of which have at least one
listed company and one company not being company listing at the Stock Exchange:
- Dossier of
registration for listing complies with clause 1.1 of this Article, exclude
Appendices VI and VII about the audit report and financial
statements at prospectus;
- The
unlisted company must have annual financial statement audited before
consollidation;
- Consolidation
contract as prescribed by the Law on Enterprise;
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c. In case where companies formed
after consolidating two (02) or several enterprises which are not companies
listing at the Stock Exchange, dossier of registration for listing complies
with clause 1.1 of this Article.
1.3. Dossier of registration for
stock listing of companies formed after merger:
a. In case of
joint-stock companies formed after merger as prescribed in points a and b3 clause 1.2 Article 3 and points a and b3
clause 1.2 Article 4 of this Circular, dossier of changing the listing
registration complies with clause 2 Article 59 of the Decree No. 58/2012/ND-CP;
- Written
consent of competent state agencies for the merger of enterprises (in case it
is required to have the consent of competent state agencies).
b. In case of
joint-stock companies formed after merger as prescribed in points b1 and b2 clause 1.2 Article 3 and points b1 and b2
clause 1.2 Article 4 of this Circular:
- Dossier of
the listing registration complies with clause 1.1 of this Article;
- The company
receiving merger and the merged companies must have annual financial statement
audited before merger;
- Merger
contract as prescribed by the Law on Enterprise;
- Annual
consolidated financial statement audited (made after time of merger) of the
company formed after merger;
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c. In case of joint-stock companies
formed after merger as prescribed in point c clause 1.2 Article 3 and point c
clause 1.2 Article 4 of this Circular, dossier of the listing registration
complies with clause 1.1 of this Article;
2. Dossier of
registration for listing bonds includes:
a. Dossier of registration for
listing bonds as prescribed in points b, c, dd, e, g, h and i clause 3 Article 57 of the Decree No. 58/2012/ND-CP;
b. Written registration for
listing made according to the Appendix No. 01 (b);
c. The prospectus made according
to the form in Appendix No.02.
3. Dossier of
registration for listing public fund certificates and shares of companies for
investment in public securities includes:
a. Dossier of registration for
listing public fund certificates and shares of companies for investment in
public securities as prescribed in points b, c, dd, e, g and h clause 4 Article
57 of the Decree No. 58/2012/ND-CP;
b. Written registration for
listing made according to the form in Appendix No. 01 (c) and No. 01 (d);
c. The prospectus made according
to the form in Appendix No. 03 and No. 04.
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5. The Stock
Exchange shall specify procedures for registration for listing securities of
companies formed after consolidating, merging.
Chapter 4
IMPLEMENTATION
PROVISIONS
Article 6.
Implementation provisions
This Circular takes effect on July
15, 2013.
The model prospectus specified in
Appendix No. 02 of this Circular replaces the model prospectus specified in
Appendix No. 03 promulgated together with the Decision No. 13/2007/QD-BTC dated
13/03/2007 of the Minister of Finance issuing model prospectus in application
files for registration of a public offer of securities; the model prospectus
specified in Appendices No. 03 and 04 of this Circular replace the model
prospectus providing for listing in Appendices No. 04 and 05 promulgated
together with the above Decision.
Article 7.
Organizing implementation
The Stock Exchanges, Stock
Depository Centers, companies registering the listing and relevant
organizations and individuals shall implement this Circular.
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FOR THE
MINISTER OF FINANCE
DEPUTY MINISTER
Tran Xuan Ha
APPENDIX No. 01 (a)
WRITTEN REGISTRATION FOR LISTING STOCK
(Promulgated
together with the Circular No. 73/2013/TT-BTC dated May 29, 2013 of the
Minister of Finance guiding in details a number of articles about securities
listing at the Decree No. 58/2012/ND-CP dated July 20, 2012 detailing and
guiding the implementation of a number of articles of the Securities Law and
the Law amending and supplementing a number of articles of Securities Law)
SOCIALIST
REPUBLIC OF VIETNAM
Independence– Freedom – Happiness
-----------------------------
WRITTEN
REGISTRATION FOR LISTING STOCKS
Share:
…….. (name of stock)
Code
of stock (if any)
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I. Introduction on organization
registering for listing:
1. Name of organization
registering for listing (full name):
2. English name (if any)
3. Abbreviated name (if any):
4. The registered charter capital:
5. The real contributed charter
capital:
6. Address of head office:
7. Telephone:
Fax:
8. Place opening account:
Account number:
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- Certificate of Business
registration No………………... Issued by …………. Day of
issuance:……….. or permit of establishment and operation No. Issued by …………. Day
of issuance:………..
- Key business trades: Code
number:
- Key products/services:
II. Stocks that are registered for listing:
1. Name of stock:
2. Type of stock:
3. Par value of stock: VND
4. Tentative listing
price:
VND
5. Quantity of stocks that are registered for
listing:
stocks
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7. Rate of shares that are
registered for listing on total of the issued shares:
III. Concerned parties:
(Listing advisory, audit
organizations, etc)
IV. Commitments of register:
We hereby assure that data in this
dossier is full and true, it is not insufficient or counterfeit that may cause
damages to the stock buyers. We undertake that that:
To
fully study and strictly comply with legal documents on securities and securities
market and suffer all forms of handling if violating the commitments mentioned
above.
V. Enclosed dossier:
1. Decision of Shareholder General
Assembly in the nearest term on approving for the stock listing;
2. Register of shareholders of
organization registering for listing that is made in duration of one month
before submitting dossier of registration for listing. Register of shareholders
must be enclosed with table enumerating list of major shareholders, internal
shareholders, strategy shareholders (quantity, holding rate, duration limited
for transfer (if any)) and list of persons involving major shareholders;
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4. Commitments
of shareholders being members of Management Board, Control Board, Directors (General
Directors), Deputy Directors (Deputy General Directors), Chief accountant and
commitments of major shareholders being persons involving with members of Management
Board, Control Board,
Directors (General Directors), Deputy Directors (Deputy General Directors) and
Chief accountant of company for holding 100% of stocks owning by them in duration of 6 months from the date
of listing and 50% of these stocks in
duration of 6 next months;
5. Contract
of listing advisory (if any);
6. Written
commitment on limiting the participation rate of foreign parties as prescribed
by law for specific business fields (if any);
7. List of
persons involving members of Management Board, Board of Directors, Control Board and
Chief accountant;
8. Certificate
of Stock Depository Center about stocks of
organization already registered for centralized depository;
9. Written
approval of the State bank for joint stock credit institutions;
10. (Other
documents, if any).
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(name of organization registering for listing)
Legal representative of organization registering for listing
(Signature,
full name and seal)
APPENDIX
No. 01 (b)
WRITTEN
REGISTRATION FOR LISTING BONDS
(Promulgated
together with the Circular No. 73/2013/TT-BTC dated May 29, 2013 of the
Minister of Finance guiding in details a number of articles about securities
listing at the Decree No. 58/2012/ND-CP dated July 20, 2012 detailing and
guiding the implementation of a number of articles of the Securities Law and
the Law amending and supplementing a number of articles of Securities Law)
SOCIALIST
REPUBLIC OF VIETNAM
Independence– Freedom – Happiness
-----------------------------
WRITTEN
REGISTRATION FOR LISTING BONDS
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Respectfully
to: The Stock Exchange …..
I. Introduction on organization
registering for listing:
1. Name of organization
registering for listing (full name):
2. English name (if any)
3. Abbreviated name (if any):
4. The registered charter capital:
5. The real contributed charter
capital:
6. Address of head office:
7. Telephone:
Fax:
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9. Legal grounds for business
operation:
- Certificate of Business
registration No…………..... Issued by …………. Day of
issuance:……….. or permit of establishment and operation No. Issued by …………. Day
of issuance:………..
- Key business trades: Code
number:
- Key products/services:
II. Bonds that are registered for
listing
1. Name of bond: ……..
2. Type of bond: ……..
3. Bond duration: …….. year
4. Term for paying interests:
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6. Par value of bond: …….. VND
7. Tentative listing
price: VND
8. Quantity of bonds that are
registered for listing:
bonds
9. Tentative listing
time:
10. Rate of bonds that are
registered for listing on total of the issued bonds:
III. Concerned parties:
(Listing advisory, audit
organizations, etc)
IV. Commitments of organization
registering for listing:
We hereby assure that data in this
dossier is full and true, it is not insufficient or counterfeit that may cause
damages to the bond buyers. We undertake that:
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V. Enclosed dossier:
1. Decision on approval for listing
bonds of Management Board or convertible bonds of Shareholder General Assembly
(for joint-stock companies), listing bonds of Members' Council (for limited
liability companies with two or more members) or owner of company (for
one-member limited liability companies);
2. The
register of bond owners of organization registering for listing;
3. Prospectus
made according to the form of the Ministry of Finance;
4. Commitments
on implementing obligations of organization registering for listing to
investors, including conditions of payment, rate of debts on equity capital,
conditions of conversion (in case of listing convertible bond) and other
conditions;
5. Commitments
on payment guarantee or record to define value of collateral, enclosed with
valid documents proving legal ownership and insurance contract (if any) for
such properties in case of listing the secured bonds. Assets used for
guarantee must be registered with competent agencies;
6. Contract
between the issuing organization and representative of bond owners;
7. Certificate
of Stock Depository Center about bonds of such organization already registered
for centralized depository;
8. Written
approval of the State bank for joint stock credit institutions;
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..., date ...
(name of the listing organization)
Legal representative of organization registering for listing
(Signature,
full name and seal)
Appendix
No. 01 (c)
WRITTEN
REGISTRATION FOR LISTING CERTIFICATES OF PUBLIC INVESTMENT FUND
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SOCIALIST
REPUBLIC OF VIETNAM
Independence– Freedom – Happiness
-----------------------------
WRITTEN
REGISTRATION FOR LISTING CERTIFICATES OF PUBLIC INVESTMENT FUND
Certificate:………
(name of the investment fund certificate)
Respectfully
to: The Stock Exchange …..
I. Introduction on organization
registering for listing certificates of public investment fund:
1. Name of company managing the
public investment fund (full name)
2. English name (if any)
3. Abbreviated name (if any):
4. The charter capital:
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6. Telephone:
Fax:
Website:
7. Place opening account:
Account number:
8. Permit of establishment and
operation No. Issued by the State Securities Commission of Vietnam dated ……….
9. The permit of investment fund
management No. ……… dated ……….
II. Introduction on the public
investment fund that is registered for listing
1. Name of Fund (full name):
2. English name (if any)
3. Abbreviated name (if any):
4. Type
Fund
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6. Telephone:
Fax:
Website:
7. Place opening account:
Account number:
8. The permit for issuing fund
certificates to public No……… dated …………… issued by the
State Securities Commission
9. Certificate of registering for
establlishment of public fund No. ........dated ………. Issued by the State
Securities Commission
10. The charter capital of fund:
11. Time of fund closure:
12. Operational duration of fund:
III. Fund certificates that are
registered for listing:
1. Name of fund certificate:
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3. Quantity of fund certificates
that are registered for
listing:
certificates
4. Par value of fund
certificate:
VND
5. Tentative listing
price: VND/ certificate
6. Tentative listing
time:
7. Rate of fund certificates that
are registered for listing on total of the issued fund certificates:
IV. Concerned parties:
(Listing advisory, audit
organizations, Custodian Bank, etc)
IV. Commitments of organization
registering for listing:
We hereby assure that data in this
dossier is full and true, it is not insufficient or counterfeit that may cause damages
to the fund certificate buyers. We undertake that:
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IV. Enclosed dossier:
1. The
register of investors holding certificates of public fund;
2. Charter
of public fund made according to the form set by the Ministry of Finance and
supervision contract that has been approved by General
meeting of Investors;
3. Prospectus
made according to the form of the Ministry of Finance;
4. List
and summary resumes of members of the Board of Fund representatives; written
commitments of independent members in the Board of Fund representatives about
their independence in respect to the fund management company and Custodian
Bank;
5. Commitments
of members of the Representative board of securities investment fund about
holding 100% of fund certificates or shares owning by them in duration of 6
months from the date of listing and 50% of these fund certificates in duration
of 6 next months;
6. Report
on investment result of fund counted to time of registration for listing
confirmed by the Custodian Bank;
7. Certificate
of Stock Depository Center about fund certificates of the public fund already
registered for centralized depository;
8. (Other documents, if any).
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..., date ...
(name of the listing organization)
On behalf of the Public Investment Fund
Fund Management Company
General Director
(Signature,
full name and seal)
Appendix
No. 01 (d)
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(Promulgated
together with the Circular No. 73/2013/TT-BTC dated May 29, 2013 of the
Minister of Finance guiding in details a number of articles about securities
listing at the Decree No. 58/2012/ND-CP dated July 20, 2012 detailing and
guiding the implementation of a number of articles of the Securities Law and
the Law amending and supplementing a number of articles of Securities Law)
SOCIALIST
REPUBLIC OF VIETNAM
Independence– Freedom – Happiness
-----------------------------
THE
WRITTEN REGISTRATION FOR LISTING STOCKS OF THE
PUBLIC SECURITIES INVESTMENT COMPANY
Stock: …….. (name of stock)
Respectfully
to: The Stock Exchange …..
I. Introduction on organization
registering for listing:
1. Name of organization
registering for listing (full name):
2. English name (if any)
3. Abbreviated name (if any):
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5. Address of head office:
6. Telephone:
Fax:
7. Place opening account:
8. Account number:
9. The permit of establishment and
operation in securities investment business dated ……….
II. Stocks that are registered for listing:
1. Name of stock:
2. Type of stock:
3. Par value of stock: VND
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5. Quantity of stocks that are registered for
listing: stocks
6. Tentative listing
time:
7. Rate of shares that are
registered for listing on total of the issued shares:
III. Concerned parties:
(Listing advisory, audit
organizations, etc)
IV. Commitments of organization
registering for listing:
We hereby assure that data in this
dossier is full and true, it is not insufficient or counterfeit that may cause
damages to the stock buyers. We undertake that:
To
fully study and strictly comply with legal documents on securities and
securities market and suffer all forms of handling if violating the commitments
mentioned above.
V. Enclosed dossier:
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2. Charter
of the public securities investment companies made acording to the form set by
the Ministry of Finance and supervision contract that have been approved by
Shareholder General Assembly;
3. Prospectus
made according to the form of the Ministry of Finance;
4. Commitments
of shareholders being members of the Management Board, Control Board, Directors
(General Directors), Deputy Directors (Deputy General Directors), Chiefs
accountant and commitments of major shareholders being persons involving with
members of the Management Board, Control Board, Directors (General Directors),
Deputy Directors (Deputy General Directors) and Chiefs accountant of the
securities investment companies for holding 100% of stocks owning by them in
duration of 6 months from the date of listing and 50% of these stocks in
duration of 6 next months;
5. Report
on investment result of the public securities investment company counted to
time of registration for listing confirmed by the Custodian Bank;
6. Certificate
of Stock Depository Center about stocks of the public securities investment
company already registered for centralized depository.
7.
(Other
documents, if any).
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Legal representative of organization registering for listing
(Signature,
full name and seal)
Appendix No. 02
THE MODEL PROSPECTUS FOR LISTING STOCKS/ BONDS ON
THE STOCK EXCHANGE
(Promulgated
together with the Circular No. 73/2013/TT-BTC dated May 29, 2013 of the
Minister of Finance guiding in details a number of articles about securities
listing at the Decree No. 58/2012/ND-CP dated July 20, 2012 detailing and
guiding the implementation of a number of articles of the Securities Law and
the Law amending and supplementing a number of articles of Securities Law)
(the
cover page)
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THE
PROSPECTUS
COMPANY:
ABC
(The
certificate of business registration No. ………issued by …………. dated ……….. or the permit
of establishment and operation No. ……issued by …………. dated ……….. )
STOCKS
(BONDS) LISTING
ON
THE STOCK EXCHANGE …..
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This prospectus and its
supplementary documents will be provided at:……………….
In charge of information
disclosure:
Full name: …….. . . . .
. . . . . ………Telephone number:………..Position:………….
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COMPANY:
ABC
(Certificate
of business registration No. …….issued by ………. dated ………)
(Clearly
inscribing address of head office, telephone number, fax,email, website of
company)
STOCKS
(BONDS) LISTING
ON
THE STOCK EXCHANGE …..
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Name of stocks/bonds:
Type of stocks/bonds:
Code of stocks/bonds (if any):
Maturity time (for bonds):
Interest rate (for bond):
Term of interest payment (for bond):
Par value:
Total listed quantity:
Total listed value (under parvalue):
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AUDIT ORGANIZATION:
COMPANY: ……….. (clearly inscribing address of head office, transaction telephone
number and fax number)
ADVISORY ORGANIZATION:
COMPANY: ……….. (clearly inscribing address of head office, transaction telephone
number and fax number)
(the
cover page)
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TABLE OF CONTENTS
Page
I. Risk factors influencing the
price of the listing securities
II. Key persons responsible
for the contents of the prospectus
III. Definitions
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V. The listing securities
VI. Parties involved in the listing
VII. Appendices
CONTENTS OF PROSPECTUS
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(Clearly analyze the influences
of risk factors on the price of the listing securities)
1. Applicable to organizations which are not credit institutions and
non-banking financial organizations:
1.1. Economic risks
1.2. Legal risks
1.3. Specific risks (industry,
company, operational sector)
1.4. Other risks
2. Applicable to organizations which are credit institutions and
non-banking financial organizations:
2.1. Interest rate risks: (Analyse
the status of mobilization and lending, and the difference between term of
deposits and borrowed funds explaining how fluctuations in interest rates have
affected the value of deposits and loans)
2.2. Credit risks: (Analyse
the possible risks if for any specific reason some companies fail to repay
their debts)
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2.4. Payment risks: (Analyse
the possibility of sudden withdrawal of large amounts by depositors and the
banks’ ability to guarantee enough cash to meet the demand for regular as well
as sudden (especially for sudden demand) withdrawal by customers)
2.5. Risks from off-balance sheet
accounts: (Analyse forward transactions, lending commitments and letter of
credit guarantees, leading to what affect on the financial situation of the
bank)
2.6. Legal risks:
2.7. Other risks: (force
majeure risks: natural calamity, enemy-inflicted sabotage and so forth)
II. KEY PERSONS RESPONSIBLE FOR
THE CONTENTS OF THE PROSPECTUS
1. The listing
organization:
Mr./Ms.: ……………………… Title: Chairman
of Board of Management
Mr./Ms.: ……………………… Title: Chairman
of Director (General Director)
Mr./Ms.: ……………………… Title: Deputy
Director (Deputy General Director) involving the registration for listing.
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Mr./Ms.: ……………………… Title: Head of
Control Board
We hereby undertake that all the
information and data in this Prospectus is consistent with the actual situation
of which we have knowledge, or with the data we have investigated and collected
in a reasonable manner.
2. Advisory organization:
Legal representative: Mr./Ms.:
………………………
Title: . . . . . . . . . . . . . .
.
Letter of authorization: ……………………
This Prospectus is a part of the
dossier of registration for listing which was participated
in preparation by (name of advisory
organization) on the basis of an advisory contract (if any) with (name
of the listing organization). We hereby undertake that the analysis,
assessment and selection of wording in this Prospectus was made reasonably and
carefully, based on information and data provided by (name of the listing
organization).
III. DEFINITIONS
(Words and abbreviated phrases, difficult words and words which may
cause misunderstanding in the Prospectus need to be defined)
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1. Summary of
establishment and development progress:
- General introduction on
the listing organization
- The establishment and
development progress
- The process of increasing
capital …..
2. Company
organizational structure (and group corporate structure, if any) (expressed in a diagram and enclosing an explanation)
3. Company management
structure (expressed in a diagram and enclosing an
explanation)
4. List of shareholders
(names, addresses, ID number, business registration number (if any)) holding over
5% of company equity; List of founding shareholders and ratio of shares held
(if the regulations restricting transfer are still effective); shareholder
structure (domestic and international organizations and individuals and holding
ratios);
5. List of parent
companies and affiliates of the organization registering for listing, companies
in which the organization registering for listing holds a controlling right or
controlling shares, and companies holding a controlling right or controlling
shares in the organization registering for listing, including: Name, address,
business trades, the registered charter capital, the actually-contributed
charter capital; the registered capital/ the actually-contributed capital of
organization registering for listing, the holding ratio of organization
registering for listing …
6. Business operation
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6.1.1. Product output/value of
services throughout the years (ratio of each product/service over revenue
and profit)
6.1.2. Raw materials
- Source of raw materials;
- Stability of this supply source;
- Influence of price of raw
materials on revenue and profit.
6.1.3. Production cost (stating
whether high or low, competitive or not), rate of each cost / revenue
6.1.4. Technology level
6.1.5. Status of research and
development of new products (if any)
6.1.6. Status of checking
product/service quality
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- Company’s quality checking division.
6.1.7. Marketing operations
6.1.8. Trademarks, registered
inventions and copyright
6.1.9. Large contracts currently
being performed or which have been signed in the past (names, value, time for
implementing, products, parties to the agreements)
6.2. Applicable to credit
institutions and non-banking financial organizations:
6.2.1. Company’s main business
lines:
- Types and quality of
products/services;
- Capital mobilization (Structure,
ratio of domestic and international mobilized capital of the issuing
organization during the last 2 - 3 years)
- Credit operations (Effectiveness,
capital prudential ratios, total outstanding loan balance, bad debt ratio, and
interest rate risks: Categorize all these during the most recent 2 to 3 years)
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- Agency banking operations (if
any)
6.2.2. Risk management and capital
preservation;
6.2.3. Operational Market
- Branch network
- Customer base and customer
oriented services
- Market share and competitive
capacity
6.2.4. On-going projects for
developing business operations.
7. Report on business operation
results
7.1. Summary of several criteria
on company’s business activities for the last two (2) years and the last
quarter (if any).
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Items
Year X-1
Year X
% Increase/Decrease
The last quarter
* Applicable to organizations
which are not credit institutions and non-banking financial organizations:
Total asset value
Equity capital
Net revenue
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Other profit
Profit before tax
Post-tax profit
Profit sharing and dividend payout
ratio
Rate of post-tax profit over
equity capital
* Applicable to credit
institutions and non-banking financial organizations:
Total asset value
Equity capital
Revenue
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Profit before tax
Post-tax profit
Rate of post-tax profit over
equity capital
(In case where organization
registering for listing is mother company, the item of the production and
business operation result will base on financial statement of mother company
and consolidation financial statement).
- Other aspects (Set out the
industry’s and/or the company’s special characteristics in order to clarify the
results of business operation in the last two years)
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7.2. Factors influencing
production and business operations of the company for the reported year (Specify
the main advantages
and disadvantages influencing business status of company in the
report year, and in a case of decrease in business results of the
company then the reasons must be given)
8. The company’s
position as compared with that of other companies in the same industry
- The company’s position in its
industry;
- Prospects of the industry;
- Comparison on financial status
and business operation of enterprises in the same industry;
- Evaluation of the consistency
between the company's developmental orientation and the industry’s
developmental orientation, and with State policies and the global tendency.
9. Labor policy
- The number of employees in the
company
- Training policy, salaries,
bonus, benefits, and so on. .
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11. Financial status
11.1. Applicable to
organizations which are not credit institutions and non-banking financial
organizations:
11.1.1 Basic criteria (for the
last year)
- Fixed asset depreciation
calculation: (State whether it is in line with the legal requirements
and whether there any changes in the depreciation policy)
- Average salary: (Compare it
with that of other companies in the same industry in the same geographical
area)
- Payment of due debts: (State
whether they are paid on the due date and in full)
- Payable amounts specified by
law: (State whether they are paid in accordance with law)
- Deductions for Funds required by
law: (State whether they are maintained in accordance with the
charter and with law)
- Outstanding debt balance:
(Specify overdue loans, guaranteed debts (if any), overdue short term,
medium term or long term loans, reasons for overdue debts, recoverability of
loans)
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11.1.2 Basic financial criteria
(depending on each industry)
Items
Year X - 1
Year X
Note
Solvency ratios
+ Short-term payment
ratio:
Current Assets / short-term
debts
+ Quick payment ratio:
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Short-term debts
Capital structure criteria
+ Debt ratio/Total assets
+ Debt ratio/Equity capital
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Activity capability ratios
+ Inventory turnover:
Cost of goods sold
Average inventory
+ Net revenue/Total average
assets
Profitability ratios
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+ post-tax profit/average equity
ratio
+ post-tax profit/total average
assets ratio
+ Profit from business
operations / net revenue ratio
(In case where organization registering
for listing is mother company, the financial criteria will base on report of
mother company and consolidation financial statement)
11.2. Applicable to credit
institutions and non-banking financial organizations:
Items
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Year X
Note
1. Capital Scale
- Charter
capital
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- Total assets
- Capital
prudential ratios
2. The business
operation results
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- Deposit
mobilization size
- Lending size
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- Debt
collection size
- Overdue
debts
- Bad debts
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- Capital
utilization ratio
- Overdue
guaranteed debts/total guaranteed debt balance ratio
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- Overdue
debt/Total debt balance ratio
- Bad
debt/Total debt balance ratio
3. Solvency
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- Immediate
payment ability
- General
payment ability
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(The ratios mentioned above are
set out in Decision 06/2008//QD-NHNN dated 12/3/2008 of the Governor of State
Bank of Vietnam promulgating the regulation on rating of joint stock commercial
banks).
12. Board of Management,
Board of Directors, Board of Controllers, Chief Accountant
- List (names, ages, ID card
numbers)
- CVs, including the following
contents:
+ Current position (duration of
keeping position counted to the current time) and positions holding in other organizations,
the affairs experienced, certificates/degrees;
+ Ratio of securities owned by
him/her or by relatives in organization registering for listing;
+ Debts
owing to the company (if any) (applicable to listing of stocks);
+ Remunerations and other
benefits (if any);
+ Benefits related to the
listing organization (if any).
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14. Plan on production
and business, profit and dividends in next years (applicable
to listing of stocks)
Items
Year X + 1
Value, %
% increasing/ decreasing compared to year X
Net revenue (or lending size
applicable to credit institutions)
Post-tax profit
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Equity capital
+ post-tax profit/net revenue
ratio
post-tax profit/equity capital
ratio
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Dividend
- Specify the bases for achieving
the above planned profit and dividends.
- Investment plans, projects
already approved by Board of Management, Shareholder General Assembly.
- Plan on increasing charter
capital (if any)
15. Evaluation by the
advisory organization of the profit and dividend plan.
16. Information about
commitments not yet implemented by the listing organization (information on convertible bonds, and information related to
stocks, bonds, so forth)
17. Information about
disputes, litigations involving the company which might influence the price of
the listing securities (if any).
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1. Types of securities
2. Par value
3. Total the listing securities:
Clearly specify the quantity of securities that have
been issued but not yet listed and reason of not yet listing (if any).
4. Quantity of stocks,
bonds limited transfer as prescribed by law or the listing organization
5. Credit rating (if any)
6. Pricing method
7. Interest calculating
method at the due date (for listing bonds).
(Specify the formula or equation with examples)
8. Method of exercising
rights
- Conditions, period for
exercising rights;
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- Calculation method and payment
of loss if rights are not exercisable;
- Other terms relating to the
interests of the owners of shares options or securities rights
9. Evaluation of the effects
of inflation on listed bonds (Use the inflation
statistics for 5 years in order to forecast the effects of inflation on bond
interest rates)
10. Commitment on
guaranteed ratio (in a case of listing of
guaranteed bonds).
11. Limitation on the
holding ratio applicable to foreigners (as prescribed by law on securities and
law of specialized sector if any)
12. Relevant kinds of
taxes (income tax and other taxes relating to
listed securities)
IV. PARTIES INVOLVED IN THE
LISTING
(Specify the names and head
office addresses of, and provide a general introduction of the parties involved
in the listing: namely the representative of bondholders, the
audit organization, advisory organization and so forth)
VII. Appendices
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2. Appendix II: Company charter in accordance with the model charter for listed
companies
3. Appendix III: Minutes of asset valuations (if any)
4. Appendix IV: Valuations of equipment and workshops, etc (if any)
5. Appendix V: Introduction of legal documents relating to the listed organization
6. Appendix VI: Audit report (to be reproduced word for word)
7. Appendix VII: Financial statements (made according to provision in Article 16 of the
securities Law)
8. Appendix VIII: Report on legal disputes
9. Other Appendixes (if any)
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All signatures of persons responsible for content of prospectus
(Signatures,
full names, seals)
Appendix
No. 03
THE MODEL PROSPECTUS FOR LISTING CERTIFICATES
OF SECURITIES INVESTMENT FUND ON THE STOCK EXCHANGE
(Promulgated
together with the Circular No. 73/2013/TT-BTC dated May 29, 2013 of the
Minister of Finance guiding in details a number of articles about securities
listing at the Decree No. 58/2012/ND-CP dated July 20, 2012 detailing and
guiding the implementation of a number of articles of the Securities Law and
the Law amending and supplementing a number of articles of Securities Law)
(the
cover page)
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THE
PROSPECTUS
NAME
OF FUND
(Certificate
of registering for establlishment of fund No. ........Issued by the State
Securities Commission dated ………. )
FUND
CERTIFICATE LISTING
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(Listing
Registration number:……….issued by the Stock Exchange ... dated.....)
1. Full name,
title and address of the person in charge of announcing information;
2. Place providing
the Prospectus, means of announcing the Prospectus (at the head office, at
branches of the company, on its website etc);
(the
cover page)
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Page
I. Key persons responsible
for the contents of the Prospectus
II. Terms/Definitions
III. Investment
opportunities
IV. Information about the
Investment Fund
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V. Information about the Fund
Management Company and other relevant organizations
VI. Fund certificate listing
VII. Commitments
VII. Appendices attached
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I. KEY PERSONS RESPONSIBLE FOR
THE CONTENTS OF THE PROSPECTUS
1. Organization
registering for listing – Name of Fund
1.1. Key members of fund management
company (name of fund management company) include: Mr./Ms.: ……………………… Title: Chairman of Board of Management/ Members’
Council
Mr./Ms.: ……………………… Title: Director
/ General Director
Mr./Ms.: ……………………… Title: Chief
accountant
1.2. Members of the Board of
Fund’s Representatives include:
Mr./Ms.: ……………………… Title: Chairman
Mr./Ms.: ……………………… Title: Vice
Chairman
Mr./Ms.: ……………………… Title: Member
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2. Concerned
organizations:
2.1. Custodian Bank:
Mr./Ms.: ……………………… Title: Chairman
of Management Board
Mr./Ms.: ……………………… Title: Director
/ General Director
2.2. Company of asset
valuation (if any)
2.3. Advisory organization:
Legal representative: Mr./Ms.:
………………………
Title: . . . . . . . . . . . . . .
.
This prospectus is a part of the
dossier of listing registration which was participated in preparation by (name of advisory organization) on the basis of an advisory
contract with (name of the organization registering for listing). We
hereby undertake that the analysis, assessment and selection of wording in this
Prospectus was made reasonably and carefully, based on information and data
provided by (name of organization registering for listing).
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This part is reserved for the
explanation of terms or definitions used in the Prospectus.
III. INVESTMENT OPPORTUNITIES
1. An
overview of the Vietnamese economy
2. The
Vietnamese securities market and investment opportunities
IV. INFORMATION ABOUT THE
INVESTMENT FUND
1. General
information about Fund
1.1. Name and address,
telephone, fax, email of Fund.
1.2. The Board of
Fund’s Representatives :
Introduction on the Board of
Fund’s Representatives:
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- Brief
information about members in the Board of Fund’s
Representatives (their full names, positions, ID card /
passport numbers, working experiences, etc) and concerned persons.
1.3. Fund establishment
process:
Clearly state process from being
granted certificate of the public offer of securities untill being granted
certificate of registration for the public fund establishment, include the
following contents:
* Results of capital mobilization
to Fund:
● Name of the
issuing fund:
● Type of
Fund:
● Par value:
● Total
quantity of fund certificates distributed actually:
● Total
actually mobilized value (except for charges involving the issuance):
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● Date ending
capital mobilization:
● Custodian
Bank:
● Account for
remittance:
* Report on result of capital
mobilization that have been confirmed by the Custodian Bank and submitted to the
State Securities Commission
* Nature and operational duration
of Fund
2. The
charter of Fund
Summary of fund charter with the
following key information:
2.1. General provisions
2.2. Provisions on
investment objectives, policies and limitations
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- Investment
strategies/policies, expected industries/sectors for investment;
- Assets
permitted to be invested;
- Investment
structure;
- Investment
limitations;
- Method of
investment selection, and procedures for investing and the issuing of
investment decisions;
2.3. Investors, register of
investment fund certificate holders and transfer of investment fund
certificates
- Investors;
- Rights and
obligations of investors;
- Register of
investment fund certificate holders;
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- Inheritance
of investment fund certificate;
2.4. Distribution of
operational results
- Method of
distribution of the Fund’s profits;
- Solution
for losses of the Fund;
2.5. General meeting of
investors
- Annual and
extraordinary general meeting of investors;
- Rights and
duties of the investors, and of the general meeting of investors;
- Mode of
conducting the general meeting of investors;
- Resolutions
of the general meeting of investors.
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- Organization
of Board of Fund’s Representatives (list of Board of Fund’s Representatives);
- Criteria
for selecting members of the Board of Fund’s Representatives;
- Rights and
duties of the Board of Fund’s Representatives;
- Chairman of
the Board of Fund’s Representatives;
- Procedures
for operating the Board of Fund’s Representatives;
- Suspension
and dismissal of members of the Board of Fund’s Representatives;
- Representative
of members of the Board of Fund’s Representatives;
- Minutes of
meetings of the Board of Fund’s Representatives.
2.7. Criteria for selection
of, and rights and responsibilities of the Fund Management Company
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- Responsibilities
and rights of the Fund Management Company;
- Terminating
rights and obligations of the Fund Management Company;
- Operational
limitations of the Fund Management Company.
2.8. Criteria for selection
of, and rights and responsibilities of the Custodian Bank
- Criteria
for selection of the Custodian Bank;
- Responsibilities
and rights of the Custodian Bank;
- Terminating
rights and obligations of the Custodian Bank.
2.9. Auditing, accounting
and reporting regime
3. Investment
objectives of Fund:
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4.1. Market risks
4.2. Interest risks
4.3. Inflation risks
4.4. Lack of solvency risks
4.5. Legal risks
4.6. Credit risks
4.7. Conflict of interest risks
4.8. Other risks
5. Charges,
fees and operational bonuses
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5.2. Management charge
5.3. Custodian charge and depository charge
5.4. Other charges and fees
5.5. Operational bonuses
5.6. Other information
6. Fund certificate
transactions
6.1. Transfer and inheritance of
fund certificates
6.2. The minimum holding term
6.3. Other provisions
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7.1. Time for determining net
asset value
7.2. Method of determining net
asset value
8. Method
of calculating income and plan for profit distribution of the Fund
Specify the method of calculating
income items of the Fund; the plan and method for profit distribution to
investors.
9. Reporting
regime
Specify the obligations of the
Fund Management Company and of the Custodian Bank to provide financial
statements and operational reports on a monthly, quarterly and annual basis to
investors of the Fund.
10. Contact address for answering questions from investors
Provide in detail the contact
address and telephone number for investors to contact the Fund Management
Company if they have questions relating to the Fund which need to be answered.
V. INFORMATION ABOUT THE FUND
MANAGEMENT COMPANY AND OTHER RELEVANT ORGANIZATIONS:
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1.1. General information
about the Fund Management Company:
1.1.1. Name and address of head office (address, telephone number, fax, email,
website), branches, representative offices (if any) of the Fund Management
Company;
1.1.2.
Number of license (copy of license enclosed with prospectus);
1.1.3.
Introduction about shareholders / founding members of the Fund Management
Company and their concerned persons;1.1.4. Introduction
about structure of Board of Management/Members’ Council of
the Fund Management Company
- Structure
of Board of Management/Members’ Council of the Fund Management Company;
- Brief
information about members in Board of Management/Members’ Council (full names,
positions, ID card / passport numbers, working experiences, etc).
1.1.5. Introduction about the
Executive Board of Fund Management Company
- Structure
of Executive Board of Fund Management Company
- Brief
information about members in the Executive Board (full names, positions, ID
card / passport numbers, working experiences, etc) And their concerned persons.
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- Brief
information about members in the Consult Council/ Investment Council (full
names, positions, ID card / passport numbers, working experiences, etc).
1.1.7.Introduction
about the person practicing asset management and directly managing the Fund:
- Full name:
- ID card/
passport number:
- Number of
the practicing certificate:
- The working
process and experiences:
1.2. General information
about operational status of the Fund Management Company
- General
operational status of the Fund Management Company (result of business
operation, financial status, etc) from the day of establishment to the most
recent time compared to day of providing information in prospectus.
- Types of
fund that are being managed by company;
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- Prospectus
must not provide information for purely personal purposes; and must not
exaggerate successes or conceal failures by concealing information regarding
operational conditions or regarding past or present managerial experience of
the Fund Management Company, and past or present operational conditions of
other funds that have been managed by the Fund Management Company.
2. Information
about Custodian Bank:
2.1. General information about
Custodian Bank (name, address, telephone, fax, website, email, function, and so
forth);
2.2. Enclosed with the custodian
contract between the fund management company and Custodian Bank.
3. Information
about audit company
3.1. General information about
Company auditing Financial statement of the Investment Fund (name, address,
telephone, fax, website, email, function, and so forth);
3.2. Enclosed with the audit
contract between the fund management company and audit company.
4. Information
about Legal Consultancy Company (if any):
4.1. General information about
Legal Consultancy Company (name, address, telephone, fax, website, email,
function, and so forth);
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5. Information
about the valuation organization (if any)
VI. FUND CERTIFICATE LISTING
1. General
information about the fund certificate
listing:
● Name of
securities:
● Types of
securities:
● Par value:
● Total the
listed securities:
● Methods of
price calculation:
2. Power of
attorney from the Board of Fund’s Representatives to the Fund Management
Company authorizing it to conduct listing procedures.
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4. Information
about commitments that have not yet been implemented by organization
registering for listing
5. Limitation
on the holding ratio applicable to foreigners
6. Relevant
kinds of taxes (income tax and other taxes relating to listed securities)
7. Other
information.
VII. COMMITMENTS
The Fund Management Company,
advisory company, Custodian Bank (and other relevant organizations) undertake
that the information in, and documents attached to this Prospectus are
sufficient and accurate and undertake to comply with regulation of law on
securities and securities market and relevant current regulations.
VIII. APPENDICES ATTACHED
1. Charter of
Fund that has been approved by General meeting of investors
2. Other
appendices stated in the Prospectus
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4. Address
providing the prospectus
All signatures of persons responsible for content of the prospectus
(Signatures,
full names, seals)
Appendix No. 04
THE MODEL PROSPECTUS FOR STOCK
LISTING OF SECURITIES INVESTMENT COMPANY ON THE STOCK EXCHANGE
(Promulgated
together with the Circular No. 73/2013/TT-BTC dated May 29, 2013 of the
Minister of Finance guiding in details a number of articles about securities
listing at the Decree No. 58/2012/ND-CP dated July 20, 2012 detailing and
guiding the implementation of a number of articles of the Securities Law and
the Law amending and supplementing a number of articles of Securities Law)
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(the
cover page)
THE STOCK EXCHANGE …. GRANTING REGISTRATION FOR THE STOCK LISTING OF
SECURITIES INVESTMENT COMPANY MEANS THAT THE STOCK LISTING OF SECURITIES
INVESTMENT COMPANY HAS BEEN CONDUCTED IN ACCORDANCE WITH LAW, AND DOES NOT
IMPLY ANY GUARANTEE OF VALUE OF STOCKS OF SECURITIES INVESTMENT COMPANY
OR OF THE INVESTMENT OBJECTIVES AND STRATEGY OF THE COMPANY. ANY ANNOUNCEMENT
CONTRARY TO THE ABOVE SHALL BE ILLEGAL.
THE
PROSPECTUS
NAME
OF SECURITIES INVESTMENT COMPANY
(Certificate
of registering for establlishment and operation of the securities investment
company No. ........Issued by the State Securities Commission dated ………. )
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LISTING
STOCKS OF THE SECURITIES INVESTMENT COMPANY
ON
THE STOCK EXCHANGE OF HCM CITY
(Listing
registration number:……… issued by the Stock Exchange .......... dated
..........)
1. Full name,
title and address of the person in charge of announcing information;
2. Place
providing the Prospectus, means of announcing the Prospectus (at the head
office, at branches of the company, on its website etc);
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(the
cover page)
TABLE
OF CONTENT
Page
I. Key persons responsible
for the contents of the prospectus
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III. Investment opportunities
IV. Information about the
fund management company
V. Depository bank, custodian
bank
IV. Audit company
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VIII. The establishment
process of the securities investment company
IX. Information about the
securities investment company
X. Operational status of the securities
investment company
XI. Conflicts of benefits
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XIII. Stock listing of the
securities investment company
XIV. Contact address for
answering questions from shareholders
XV. Commitments
XVI. Enclosed Appendices
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CONTENTS
OF PROSPECTUS
I. KEY PERSONS RESPONSIBLE FOR
THE CONTENTS OF THE PROSPECTUS
1. The
Management Board of Securities Investment Company:
Mr./Ms.: ……………………… Title: Chairman
of Board of Management
Mr./Ms.: ……………………… Title: Vice
Chairman of Board of Management
Mr./Ms.: ……………………… Title: Member
2. The
Fund Management Company (organization regisrering for
listing of securities investment company…….)
Mr./Ms.: ……………………… Title: Chairman
of Board of Management/ Members’ Council
Mr./Ms.: ……………………… Title: Director
(General Director)
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We hereby undertake that all the
information and data in this Prospectus is consistent with the actual situation
of which we have knowledge, or with the data we have investigated and collected
in a reasonable manner.
3. Custodian
Bank:
Legal representative: Mr./Ms.:
………………………
Title: . . . . . . . . . . . . . .
.
This Prospectus is one part of the
application file for listing registration which was prepared by (provide the
name of fund management company) after being confirmed by (provide the name of
the Custodian Bank). We hereby undertake that the analysis, assessment
and selection of wording in this Prospectus was made reasonably and carefully,
based on information and data provided by (name of the relevant organizations).
4. Advisory
organization:
Legal representative: Mr./Ms.:
……………………… . . . . . . . . . . . . . . . .
Title: . . . . . . . . . . . . . .
.
This prospectus is a part of the
dossier of listing registration which was participated in preparation by (name
of advisory organization) on the basis of an advisory contract with (name of
the organization registering for listing). We hereby undertake that the
analysis, assessment and selection of wording in this Prospectus was made
reasonably and carefully, based on information and data provided by (name of
organization registering for listing).
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This part is reserved for the
explanation of terms or definitions used in the Prospectus.
III. INVESTMENT OPPORTUNITIES
1. An
overview of the Vietnamese economy
2. The
Vietnamese securities market and investment opportunities
IV. INFORMATION ABOUT THE FUND
MANAGEMENT COMPANY
1. General
information about the Fund Management Company:
- Nam of
company: ………..
- The permit
of establishment and operation No.:
- Head
office:
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- Address of
branches, representative offices (if any):
- Operational
duration (if any):
- The charter
capital:
- Shareholder/
member of Fund Management Company:
- Introduction
about shareholders/ Founding members;
- Introduction
about shareholders/ members holding 5% or less than of charter capital;
- Introduction
about structure of Board of Management; Members’ Council of the Fund Management
Company
● Structure
of Board of Management of the Fund Management Company;
● Brief
information about members in Board of Management (full names, positions,
working experiences, etc).
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● Structure
of Executive Board of Fund Management Company;
● Brief
information about members in the Executive Board (full names, positions,
working experiences, etc)
- Introduction
about the Investment Council (brief information of members)
● Structure
of Investment Council of Fund Management Company;
● Brief
information about members in the Investment Council (full names, positions,
working experiences, etc).
2. Information
about operational status of the Fund Management Company:
- General
operational status of the Fund Management Company (result of business
operation, financial status, etc) from the day of establishment to the most
recent time compared to day of providing information in prospectus;
- Types of
funds/ securities investment companies which are managed by company (state in
details list, name of funds/ securities investment companies, types of funds/
securities investment companies, etc);
- Requirement:
Clearly state origin, time of providing the above information; clearly state
information about activities in the past of the Fund Management Company, not
imply assurance about the operational ability of the Fund Management Company in
the future.
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V. DEPOSITORY BANK, CUSTODIAN
BANK
- Name of
bank:
- The permit
of establishment No.: (enclosed with a copy)
- Certificate
of depository operation registration No.
- Head
office:
- Telephone:
Fax:
Website:
- Operational
duration (if any):
- Key
operational fields:
(Enclosed with the custodian
contract between the fund management company and Custodian Bank).
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- Nam of
company: ………..
- The permit
of establishment No.: (enclosed with a copy)
- Place of
establishment:
- Head
office:
- Telephone:
Fax: Website:
- Operational
duration (if any):
(Enclosed with audit contract
between the Fund Management Company and Audit Company and enclosed with the
written approval of the State Securities Commission about being permitted to
supply audit service for the organization registering for listing).
VI. LEGAL CONSULTANCY COMPANY
(If any)
- Nam of
company: ………..
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- Place of
establishment:
- Head
office:
- Telephone:
Fax: Website:
- Operational
duration (if any):
(Enclosed with the legal
consultancy contract between the fund management company and the Legal
Consultancy Company)
VIII. THE ESTABLISHMENT PROCESS
OF SECURITIES INVESTMENT COMPANY
Clearly state process from being
granted certificate of the public offer of securities untill being granted
certificate of registration for the establishment and operation of the
securities investment company, include the following contents:
* Results of capital mobilization:
● Name of
securities investment company:
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● Par value:
● Issuance
price:
● Charge for
issuance at the first time:
● Total
quantity of stocks distributed actually:
● Total
actually mobilized value (except for charges involving the issuance):
● Issue date:
● Date of
ending issuance:
(Report on issuance result that
have been confirmed by Custodian Bank and submitted to the State Securities
Commission)
XV. INFORMATIONS ABOUT
SECURITIES INVESTMENT COMPANY
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1.1 Name and contact address of
securities investment company
1.2 The issuance registration
1.3 The establishment and
operation permit of securities investment company
1.4 Operational duration (if any)
2. Information
about founding shareholders and the Management Board of Securities Investment
Company
2.1. Information about founding
shareholders of the Company (structure of owned shares)
2.2. Introduction about the
Management Board of Company (brief information of members)
● Structure
of the Management Board
● Brief
information about members in the Management Board (full
names, positions, working experiences, etc).
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Summary of charter of the
securities investment company with the following key information:
3.1. General provisions
3.2. Provisions on objectives,
policies and limitations
- Investment
objectives
- Investment
strategies
- Assets
permitted to be invested
- Investment
structure
- Investment
limitations
- Loaning and
lending activities, purchase transactions, depository transactions
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- Principles,
method of determining net asset value
3.3. Rights and obligations of
shareholders
- Shareholders
- Rights and
obligations of shareholders
- Register of
shareholders
- Voting
right of shareholders
- Cases of
consolidation, merger, liquidation and dissolution of securities investment
company and rights of shareholders in cases of liquidation and dissolution of
securities investment company.
3.4. Information about charge
levels that the securities investment company must pay
- Management
charge
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- Other
charges in conformity with regulation of law
- Kinds of
charges, expenses that are accounted in the investment company.
3.5. Profit division and tax
policy
- Method of
defining and distributiing profits of the securities investment company;
- Tax policy:
Taxes applied to securities investment company, income tax applied to
shareholders (payment form: being deducted at source or being paid by
shareholders)
3.6. Shareholder General Assembly
- Annual and
extraordinary Shareholder General Assembly
- Rights and
duties of the Shareholder General Assembly;
- Mode of
conducting the Shareholder General Assembly;
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3.7. The Management Board
- Organization
of the Management Board;
- Criteria
for selecting members of the Management Board;
- Rights and
duties of the Management Board;
- Chairman of
the Management Board;
3.8. Criteria for selection of,
and rights and responsibilities of the Fund Management Company
- Criteria
for selection of the Fund Management Company;
- Responsibilities
and rights of the Fund Management Company;
- Terminating
rights and obligations of the Fund Management Company;
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3.9. Criteria for selection of,
and rights and responsibilities of the Custodian Bank
- Criteria
for selection of the Custodian Bank;
- Responsibilities
and rights of the Custodian Bank;
- Terminating
rights and obligations of the Custodian Bank.
3.10. Auditing, accounting and
reporting regime
4. Risks
when investing in the securities investment company: Clarify how the process controlling investment risks of company
4.1. Market risks
4.2. Interest risks
4.3. Inflation risks
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4.5. Legal risks
4.6. Credit risks
4.7. Conflict of interest risks
4.8. Risks for specific investment
products (depend on kind of assets that the company expected for investment)
4.9. Separate risks:
4.10. Other risks
5. Other
investment information
X. OPERATIONAL STATUS OF THE
SECURITIES INVESTMENT COMPANY
1. Financial
statement (udated annually): Information about
investment operation status of the Financial Investment Company in 02 last
years
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2.1. Charge for issuance at the
first time:
2.2. Management charge
2.3. Custodian charge, depository
charge
2.4. Other charges and fees
(audit, tax advisory, evaluation charges, so on)
2.5. Other information
3. Activity
ratios
4. Method
of calculating income and plan for profit distribution of the securities
investment company
Clarify methods to calculate
income items of securities investment company; plan and method for profit
distribution of the securities investment company to shareholders.
5. The
tentative operational result of the securities investment company
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6. Time
and place providing the operational reports of the securities investment
company
XI. CONFLICTS OF BENEFITS
(Stating principles in solving the
conflicts of benefits that are able to happen)
XII. PROVIDING INFORMATION TO
SHAREHOLDERS (REPORTING REGIME, …)
Specify the obligations of the
Fund Management Company and of the Custodian Bank to provide prospectus,
financial statements and operational reports on a monthly, quarterly and annual
basis to shareholders of the securities investment company.
XII. THE STOCK LISTING OF THE
SECURITIES INVESTMENT COMPANY
General information about the
stock listing:
1. Name of
securities:
2. Types of
securities:
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4. Total the
listed securities:
5. Methods of
price calculation:
6. Quantity
of stocks limited transfer as prescribed by law or the listing organization
7. Information
about commitments that have not yet been implemented by organization
registering for listing
8. Limitation
on the holding ratio applicable to foreigners
9. Relevant
kinds of taxes (income tax and other taxes relating to listed securities)
10. Other
information.
XIV. CONTACT ADDRESS FOR
ANSWERING QUESTIONS FROM SHAREHOLDERS
Provide in detail the contact
address and telephone number for shareholders to contact the Fund Management
Company if they have questions relating to the securities investment company
which need to be answered.
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The Securities Investment Company,
Advisory Company, Fund Management Company, Custodian Bank (and other relevant
organizations) undertake that the information in, and documents attached to
this Prospectus are sufficient and accurate and undertake to comply with
regulation of law on securities and securities market and relevant current
regulations.
XVI. ENCLOSED APPENDICES
1. Charter of
the company already approved by Shareholder General Assembly according to the
Model Charter
2. Other
appendices stated in the Prospectus (Financial statement, custodian contract,
so on)
3. Introduction about legal
documents related to stocks of the securities investment company
4. Address
providing the prospectus
All signatures of persons responsible for content of the prospectus
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