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MINISTRY OF
FINANCE
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SOCIALIST REPUBLIC OF VIET NAM
Independence-Freedom-Happiness
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No.:
99/2020/TT-BTC
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Hanoi,
November 16, 2020
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CIRCULAR
PROVIDING GUIDANCE ON OPERATION OF SECURITIES INVESTMENT
FUND MANAGEMENT COMPANIES
Pursuant to the Law on
Securities dated November 26, 2019;
Pursuant to the Law on
Enterprises dated June 17, 2020;
Pursuant to the
Government’s Decree No. 87/2017/ND-CP dated July 26, 2017 defining functions,
tasks, powers and organizational structure of the Ministry of Finance;
At the request of the
Chairman of the State Securities Commission of Vietnam (“SSC”);
The Minister of Finance
promulgates a Circular providing guidance on operation of securities investment
fund management companies.
Chapter
I
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Article
1. Scope and regulated entities
1. This Circular provides
regulations on operation of securities investment fund management companies
(hereinafter referred to as “fund management companies") in Vietnam.
2. This
Circular applies to:
a) Fund management companies;
b) Any entities involving in
operation of fund management companies.
Article
2. Definitions
For the purposes of this
Circular, the terms below are construed as follows:
1. “Executive
Board” is comprised of General Director (Director) and Deputy General
Directors (Deputy Directors).
2. “valid
copy” means a copy that is extracted from the master register or
authenticated by a competent authority or organization or that has been
compared and certified to correspond with its original.
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4. “trustor”
means a securities investment fund or securities investment company or any
entity whose capital and/or assets is/are managed by a fund management company
under a trust agreement.
5. “Personal
records” include a document providing personal information made according
to the form in Appendix II enclosed herewith and a valid copy of passport of
the foreigner or other valid personal identification paper.
6. “beneficiaries”
refer to any entities whose names are not registered as owners of assets
but such assets are totally under their ownership in accordance with
regulations of law.
7. “trust
asset” means a list of assets, including cash, securities and other assets
of the trustor.
Chapter
II
ADMINISTRATION
AND ORGANIZATIONAL STRUCTURE OF FUND MANAGEMENT COMPANIES
Article
3. Charter and rules for administration of fund management companies
1. Charter
of a fund management company shall be formulated in conformity with its
organizational and operational model, and contain the primary contents of the
sample charter in Appendix XII enclosed herewith. The fund management company
that is a public company shall formulate its charter by referring to the sample
charter of a public company.
2. Fund
management companies must comply with regulations of the Law on Securities, the
Law on enterprises, this Circular and relevant laws on company administration.
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1. Organizational
structure, rights, obligations and operations of the Board of Directors, Board
of Members, Board of Controllers, audit committee, internal audit unit,
Executive Board; eligibility requirements, election, dismissal, rights and
obligations of members and Chairperson of the Board of Directors, members and
Chairperson of the Board of Members, Company’s President, Chief Controller,
Controllers, Chairperson and members of the audit committee shall be specified
in the company’s charter, conformable with regulations on company administration
applicable to public companies and regulations on enterprises, and not contrary
to regulations herein.
2. A
member of the Board of Directors or Board of Members of a fund management
company may not act as a member of the Board of Directors, Board of Members, or
Executive Board or fund management practitioner of another fund management
company or a member of the Board of Directors, Board of Members, or Executive
Board or employee of the depository bank or supervisory bank providing services
to securities investment fund or securities investment company managed by the
fund management company.
Article
5. Internal audit
1. The
fund management company that is a public company or manages a public fund or a
public securities investment company is required to establish an internal audit
unit. The internal audit unit is affiliated to the Board of Directors or Board
of Members or company’s owner.
2. The
internal audit unit shall:
a) inspect and
evaluate the organizational structure, company administration, management
and cooperation of each department and holder of each working position in order
to prevent conflicts of interest and protect benefits of clients;
b) inspect and evaluate the
adequacy, effectiveness, efficiency and compliance with regulations of law and
the company’s charter; internal control system; internal policies and
procedures, including rules of professional ethics, business process, risk
management system and procedures, information technology system, accounting,
reporting system and procedures, information disclosure, procedures for
receiving and settling denunciations and complaints from clients and other
internal regulations;
c) inspect the validity,
legitimacy, truthfulness, prudency and compliance with business process and
risk management procedures;
d) perform operational audit
according to the annual internal audit plan. The annual internal audit plan
must be approved by the Board of Directors or Board of Members or company’s
owner before it is implemented. The annual internal audit plan must comply with
the following rules:
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- The
level of risks to operation, procedures and departments must be assessed according
to the company’s internal regulations. The audit of operation, procedures and
departments with high risks shall be given priority and performed every year;
- The
annual audit plan must be adjusted upon the occurrence of change in the level
of risks to operation, procedures and departments;
dd) perform audit of
operations of all departments in the company every two years;
e) propose solutions for
enhancing operational efficiency and effectiveness of the company; monitor the
implementation of recommendations after the audit which have been approved by
the Board of Directors or the Board of Members or company’s owner.
3. The
internal audit must comply with the following rules:
a) Independence: The internal
audit unit and its operations must be independent from other departments and
operations of the fund management company, and shall not bear the management of
its Executive Board. Employees of the internal audit unit are not allowed to
concurrently hold any other working positions in the fund management company;
b) Objectivity: internal
auditors must be objective, unbiased and unprejudiced, and not be influenced
and tampered when performing their tasks;
c) Truthfulness: The internal
audit must be performed in an honest, discreet and responsible manner;
d) Cooperation: The internal
audit unit is entitled to access all information and documents of the company.
Members of the Executive Board and all employees of the fund management company
shall cooperate and provide adequate, timely, truthful and accurate information
and documents at the request of the internal audit unit. Departments in the
company shall notify the internal audit unit when detecting any weaknesses,
shortcomings, violations, risks or loss of assets of the company or its
clients;
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4. When
being appointed, an employee of the internal audit unit shall:
a) Not be facing criminal
prosecution, serving an imprisonment sentence or being banned from securities
trading as prescribed by law;
b) Not incur any
administrative penalties for securities- and securities market-related offences
in the last 06 months prior to the appointment date;
c) Have an asset management
practicing certificate issued in a member State of the Organization for
Economic Cooperation and Development (OECD) or an international certificate in
investment analysis such as CFA (Chartered Financial Analyst) level II or
higher, CIIA (Certified International Investment Analyst) - Final Level, or
securities practicing certificate, or possess certificate of fundamentals of
securities and securities market, and certificate of law in securities and
securities market.
5. The
internal audit unit must be composed of at least an employee who possesses an
auditor’s certificate or certificate of accountant issued in Vietnam, or an
international audit or accounting certificate such as ACCA (Association of
Chartered Certified Accountants), CPA (Certified Public Accountants), CA
(Chartered Accountants), or ACA (Associate Chartered Accountants), or who has
at least 03 years’ experience in legal department, inspection, management and
supervision of financial institutions in finance, banking, insurance,
securities or state audit authorities.
6. Within
07 working days from the date of appointment, dismissal or replacement of an
employee of the internal audit unit, the fund management company shall send a
notification thereof and the following documents to SSC:
a) The resolution or decision
of the Board of Directors or Board of Members or the owner’s decision on
appointment, dismissal or replacement of an employee of the internal audit unit;
b) The personal records and
judicial record issued within the last 06 months prior to the application date
(for a new employee), valid copies of documents proving that the employee and
organizational structure of the internal audit unit meets the conditions in
Clause 4 and Clause 5 of this Article.
7. The
internal audit unit must promptly send the report on annual internal audit to
the Board of Directors or Board of Members or the company’s owner and SSC. The
report on internal audit must include opinions and conclusions given by the
internal audit unit, grounds for auditor’s opinions, explanations of the
subject of the audit, remedial measures and actions against violations.
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1. The
fund management company must establish an internal control system suitable for
its organizational structure, establish an internal control unit affiliated to
the Executive Board, and issue regulations on internal control, including
internal mechanisms, policies, procedures and rules.
2. The
internal control unit shall:
a) Supervise the compliance
by each working position holder, each department and all operations of the
company with relevant laws, policies, business process and the company’s
internal regulations;
b) Supervise the fulfillment
of assigned/authorized tasks by all employees in the company. Principles of
power decentralization and authorization in the company must comply with the
following provisions:
- The
mechanism for power decentralization and authorization must be clear, explicit and
transparent, and ensure the clear division of tasks and powers between
employees and departments in the company. The business process must ensure the
clear division of functions and tasks between working position holders and
departments in the company, including analysis, appraisal, acceptance, approval
or decision, implementation, reporting and supervision of investments;
- An
individual may not hold multiple working positions that allow him/her to
perform acts with conflicted or overlapped purposes/interests. Personnel is
arranged to ensure that an individual cannot independently make his/her own
decision and perform two or more operations in the business process without
consulting other departments/individuals;
c) Engage in the formulation
and supervision of implementation of the company's internal policies,
procedures and rules in order to prevent the conflict of interest; supervise
the compliance with the code of professional ethics; consolidate, retain and
supervise business operations of the company and personal transactions
conducted by the company’s employees;
d) Engage in the formulation
and implementation of procedures for management of risks to the company and
each trustor; punctually identify and evaluate risks, establish investment
limits and adopt measures for preventing and managing potential risks in
investments of the company and its trustors;
dd) Supervise to ensure that
the net asset values (NAV) of the trust portfolios, securities investment funds
and securities investment companies are assessed in conformity with regulations
of law and internal regulations; the company’s assets and sources are managed
safely and effectively; assets of trustors are managed separately and
independently; financial statements, operational reports, reports on financial
safety indicators and other reports of the company are truthfully, accurately
and punctually prepared, and adequately updated in accordance with regulations
of law;
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g) Propose plans for settling
disputes, conflict of interests or claims from clients or partners, and
contingency plans for remedying consequences when problems occur;
h) Perform internal audit
functions in case the fund management company is not required to establish the
internal audit unit.
3. An
employee of the internal control unit shall:
a) Meet the conditions in
Clause 4 Article 5 hereof;
b) Have at least 02 years’
experience of working in specialized departments of fund management companies,
securities companies, credit institutions, insurance firms, audit organizations
or finance, banking, insurance, securities or state audit authorities;
c) Be not a related person of
the member of the Executive Board and not concurrently hold other working
positions in specialized departments directly related to licensed securities
activities.
4. The
internal control unit must be composed of at least:
a) a compliance control
employee who possesses bachelor’s degree in law or higher and has at least 01
year's experience of working in law;
b) an employee who possesses an
accounting or audit certificate as prescribed in Clause 5 Article 5 hereof, or
bachelor’s degree in accounting or audit or higher and has at least 01 year’s
experience of working in accounting or audit;
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5. Within
07 working days from the date of appointment, dismissal or replacement of an
employee of the internal control unit, the fund management company shall send a
notification thereof and the following documents to SSC:
a) The decision issued by
General Director (Director) on appointment, dismissal or replacement of an
employee of the internal control unit;
b) The list of employees,
enclosed with personal records and judicial record issued within the last 06
months prior to the application date (for a new employee), valid copies of
other documents proving that the employee and organizational structure of the
internal control unit meets the conditions in Clause 3 and Clause 4 of this
Article.
6. The
fund management company must send the report on annual internal control to SSC.
The report must indicate potential risks in operations of the company,
management of trust assets, and inspection/supervision of each unit/department
and each licensed operation.
Article
7. Executive Board and employees of a fund management company
1. The
fund management company must appoint General Director (Director), and Deputy
General Directors (Deputy Directors) in charge of securities trading operations
(if any) who meet the conditions in Clause 5 Article 75 of the Law on
Securities.
2. In
addition to General Director (Director) and Deputy General Directors (Deputy
Directors), the fund management company must have at least 05 employees
possessing fund management practicing certificate during its operation.
3. The
fund management company must arrange persons having securities practicing
certificate to hold the following working positions:
a) Executives of the fund;
managers and deputy managers of specialized departments in investment analysis,
investment appraisal and investment decision-making; employees directly taking
charge of investment analysis, investment appraisal and investment
decision-making must possess fund management practicing certificate;
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4. The
fund management company must dismiss General Director (Director), and Deputy
General Directors (Deputy Directors) in charge of securities trading
operations, and executives of the fund within 07 working days when they commit
any of the violations in Article 12 and Clause 2 Article 98 of the Law on
Securities or in case they are facing criminal prosecution or serving an
imprisonment sentence or being banned from securities trading as prescribed by
law.
5. Within
05 working days from the date of ratification of the decision on appointment,
dismissal or replacement of General Director (Director), Deputy General
Director (Deputy Director) in charge of securities trading operations, or an
executive of the fund, the fund management company shall send a notification
thereof and the following documents to SSC:
a) The decision on
appointment or dismissal of General Director (Director), Deputy General
Director (Deputy Director) in charge of securities trading operations, or
executive of the fund;
b) The list of General
Director (Director), Deputy General Directors (Deputy Directors) in charge of
securities trading operations, and executives of the fund, made according to
the form in Appendix I enclosed herewith; valid copies of documents proving
that General Director (Director), Deputy General Directors (Deputy Directors)
in charge of securities trading operations, and executives of the fund meet the
conditions laid down in the Law on Securities.
Article
8. Representative offices
1. Name
of a domestic representative office of the fund management company shall
consist of the name of the fund management company and the phrase
“representative office” and comply with regulations on naming of representative
offices in the Law on enterprises.
2. The
domestic representative office of the fund management company shall have its
establishment decision revoked in the following cases:
a) The fund management
company is dissolved, declared bankrupt or has its securities trading license
revoked;
b) The application for
approval of establishment of the representative office contains inaccurate
information;
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3. Within
15 days from the receipt of SSC’s written notification of revocation of the
decision to establish the representative office, the fund management company
shall shut down its representative office and report it to SSC in accordance
with regulations of the Law on Securities.
Article
9. Branches
1. Name
of a domestic branch of the fund management company shall consist of the name
of the fund management company and the phrase “branch” and comply with
regulations on naming of branches in the Law on enterprises.
2. The domestic branch of the fund management company shall
have its establishment decision revoked in the following cases:
a) The fund management
company is dissolved, declared bankrupt or has its securities trading license
revoked;
b) The application for
approval of establishment of the branch contains inaccurate information;
c) The branch operates for
wrong purposes or against its establishment decision;
d) It fails to meet
requirements for headquarters and equipment serving the performance of licensed
securities operations after a maximum duration of at least 03 months for
remedying unsatisfactory requirements;
dd) The branch fails to
operate within 03 months from the issue date of the decision to establish the
branch.
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Chapter
III
OPERATIONS OF
FUND MANAGEMENT COMPANIES
Section 1.
GENERAL PROVISIONS
Article
10. Obligations of a fund management company
1. The
fund management company acts as an authorized representative and/or on behalf
of its trustors to exercise the rights of ownership of their assets in a
truthful and prudent manner.
2. The fund management company shall promulgate procedures for
management of securities investment funds, procedures for securities portfolio
management, procedures for securities investment consulting and other
operational procedures in conformity with the company’s securities trading
operations; internal control procedures; valuation manual; conditions and
procedures for conducting meetings and ratifying decisions of General Meetings
of Investors of funds or General Meetings of Shareholders of securities
investment companies; code of professional ethics for each working position.
With regard to derivative investment trustors, the procedures for management of
securities investment fund must include specific regulations on principles and methods
for using derivatives to prevent risks to the fund/securities investment
company; the procedures for securities portfolio management must include
specific regulations on principles and methods for using derivatives to prevent
risks to underlying securities held by trustors. Such procedures must be
consistently applied in operations of the company.
3. The
fund management company must comply with the code of professional ethics, be
voluntary, impartial and truthful, and do for the best interests of its trustors.
Regulations on compliance with the code of professional ethics are compulsory
terms of employment contracts signed between the company and its employees.
4. The
fund management company must establish the risk management system and
promulgate risk management procedures, strategies and policies in conformity
with the organizational structure and operation of the company, types of
securities investment funds, securities investment companies and trustors
managed by the company. The risk management system and promulgate risk
management procedures, strategies and policies must be formulated according to
international practices, in conformity with conditions of Vietnam’s market and
guidelines of SSC.
5. When
managing trust assets, the fund management company shall:
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b) Enter into depository or
supervisory contract with the depository bank for member fund, private
securities investment company, and trust portfolio; enter into supervisory
contract with the supervisory bank for public fund or public securities
investment fund;
c) Deposit all assets
acquired in the territory of Vietnam, adequately, punctually and accurately
keep information and data about asset ownership, and retain originals of legal
documents proving asset ownership at the depository bank/supervisory bank.
- In
case of investment in deposits/deposit certificates for trustors: the fund
management company shall only make deposits at credit institutions on the list
of credit institutions approved by the trustor; provide adequate information
about deposit contracts and deposit accounts to the depository bank/supervisory
bank so that they can check balances of deposit accounts or values of deposit
contracts with relevant credit institutions, keep the originals of deposit
contracts and provide them at the request of the depository bank/supervisory
bank;
- In
case of investment in stakes in limited liability companies, shares which are
not yet listed or registered for trading or unlisted bonds for trustors: the
fund management company must deposit the originals or valid copies of
transaction contracts/receipts or the original of the shareholder register or
member register or asset ownership certificates at the depository
bank/supervisory bank that shall make direct verification with investment
receiving organizations;
d) Develop an information
system to manage trustors’ accounts at the company in a manner that ensures the
independent and separate management of assets of trustors; manage trust assets
separately from the company’s assets; adequately and punctually retain
accounting books, transaction documents and other documents related to
transactions and ownership of assets of trustors; adequately, accurately and
promptly consolidate information about assets of each trustor and depository
where such assets are kept;
dd) Establish a mechanism for
regular verification between three parties in order to ensure the consistency
between data on assets of trustors on the system of trustor accounts managed by
the company, the depository system of trustors’ assets at the depository
bank/supervisory bank with issuers, Vietnam Securities Depository and Clearing
Corporation (VSDCC), the organization managing shareholder register, project
owner, investment receiving organization and depository institution. The
fund management company shall establish a mechanism that allows the depository
bank/supervisory bank to actively and directly make verification with the
aforesaid organizations in order to inspect and consolidate adequate and
accurate information about depositing, registration and management of trust
assets;
e) Assign at least 02 fund
executives to manage and administer investments of each securities investment
fund or each securities investment company. A fund executive is required to
have the fund management practicing certificate, has at least 02 years’
experience of working in asset management and has not yet faced any
administrative penalties for securities- and securities market-related
offences. In case the securities investment fund or securities investment
company managed by the fund management company invests in derivatives for the
purpose of risk prevention, the fund executive is also required to have
professional certificate in derivatives and derivatives market. Information
about the qualifications, skills and experience in asset management of fund
executives must be specified in the prospectus.
6. The
fund management company must promulgate procedures for rational and impartial
allocation of trading orders and assets when conducting transactions for
trustors and the company’s transactions. Asset allocation procedures must
indicate the allocation principles, valuation method and volumes of assets
allocated to each trustor which must be conformable with investment objectives
and level of risks accepted by each trustor. Procedures for allocation of
trading orders and assets must be available to trustors, supervisory bank,
depository bank and must be consistently applied.
In case the fund management
company buys or sells the same type of assets for different trustors and itself
in the same day, assets and transactions shall be allocated and conducted in
the following order of priority:
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b) The company’s transactions
shall be conducted only after trading orders of trustors are met. If the fund
management company knows internal information or believes that trust asset
trading orders may considerably influence the price of a type of assets, the
fund management company is not allowed to conduct transactions in such type of
assets or reveal such asset transactions to a third party;
c) The depository
bank/supervisory bank must be notified of such asset allocation within the same
trading day.
7. When
conducting asset transactions for trustors, the fund management company shall
comply with the following provisions:
a) Regarding public
funds/public securities investment companies:
- The
value of securities transactions conducted in the year through brokers of a
securities company does not exceed 50% of total value of securities
transactions conducted in the year of the public fund or that public securities
investment company;
- The
value of securities transactions conducted in the year through brokers of a
securities company that is a related person of the fund management company does
not exceed 20% of total value of securities transactions conducted in the year
of the public fund or that public securities investment company;
The regulations in this Point
shall not apply to the public fund or public securities investment company
whose operating period counting from the issue date of the certificate of fund
registration or the establishment and operation license to the end of the year
in which that fund or securities investment company is established is less than
06 months, and open-end bond fund whose total trading value in the year is less
than VND 300 billion;
b) Regarding other trustors,
the fund management company must comply with the regulations in Point a of this
Clause, unless information about benefits of the fund management company has
been adequately provided for the securities company and the trustor has given a
written consent that such regulations must not apply.
8. With
regard to the fund administration and operations of transfer brokers, the fund
management company shall:
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b) Prepare, store and
promptly, adequately and accurately update the investor register/shareholder
register. Contents of the investor register/shareholder register shall comply
with relevant regulations on securities investment funds, the fund’s charter, and
charter of the securities investment company;
c) The fund management
company may authorize the fund administration and operations of transfer
brokers. Such authorization must comply with Article 12 hereof and the fund’s
charter and charter of the securities investment company.
9. When
managing investments of a securities investment company, the fund management
company shall:
a) Bear the supervision of
the General Meeting of Shareholders/Board of Directors of the securities
investment company and the supervisory bank and assume responsibility before
the General Meeting of Shareholders/Board of Directors for performance of
assigned powers and tasks, regulations in the charter of the securities
investment company and the trust agreement;
b) Establish, operate and
implement risk management system/procedures which must be conformable with
investment policies, invested assets and report the risk management to the
General Meeting of Shareholders and Board of Directors;
c) Make daily
investment/disinvestment decisions of the securities investment company without
obtaining resolutions of the General Meeting of Shareholders/Board of Directors
of the securities investment company according to its charter and trust
agreement;
d) Implement investment
policies/resolutions of the General Meeting of Shareholders/Board of Directors
of the securities investment company according to the charter of the securities
investment company; conduct asset transactions within the scope of licensed
investment limits, asset types, trading volumes and subjects prescribed in the
charter of the securities investment company and trust agreement;
dd) Propose plans for
dividend payment, increasing/decreasing of charter capital; plans for
restructuring of securities investment company;
e) Sign contracts in the name
of the securities investment company within its competence prescribed in the
charter of the securities investment company and trust agreement;
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10. When
managing voluntary pension funds, the fund management company must comply with
regulations on voluntary pension programs.
11. The
fund management company shall promptly and adequately provide information about
trustors, list of trust assets, trust asset-related transactions,
investment-receiving organizations, related persons of the fund management
company and other relevant information for the depository bank/supervisory
bank. The fund management company shall provide information at the written
request of the depository bank/supervisory bank and facilitate their
performance of rights and obligations as prescribed by law. The fund management
company is required to monthly check each trustor’s list of trust assets with
the depository bank/supervisory bank.
12. Within
15 days from the day on which the supervisory bank detects and notifies the
fund management company of trust asset transactions conducted inconsistent with
regulations or beyond the competence of the fund management company as
prescribed in law, the fund’s charter, the charter of the securities investment
company and trust agreement, the fund management company shall cancel such
transactions or conduct transactions to restore investment portfolios for
trustors. In this case, the fund management company shall incur the costs of
these transactions and any losses. If these transactions generate
profits, all profits shall be accounted for trustors.
13. The
fund management company shall be liable to losses incurred by trustors due to
the faults of its employees, problems or errors of its technical system or
business process or because it fails to fulfill its obligations as prescribed
in law, the fund’s charter, charter of the securities investment company and
trust agreement. Compensation for open-end funds and their investors shall be
made in accordance with law regulations on securities investment funds and
agreements between relevant parties. Compensation for closed-end funds, member
funds, securities investment companies and other trustors shall be made
according to agreements between relevant parties.
14. The
fund management company shall purchase professional liability insurance for
employees of securities trading departments if necessary or establish the risk
management fund which shall be used for making compensation for trustors in the
cases prescribed in Clause 13 of this Article.
15. The
fund management company must comply with regulations and laws on anti-money
laundering in force. The fund management company shall implement and request
its distribution agents to formulate, promulgate and implement internal
regulations on anti-money laundering.
16. The
fund management company shall implement and request its distribution agents to
formulate, promulgate and implement procedures for identifying clients,
verifying and updating information about clients in accordance with regulations
of the Law on securities, the Law on anti-money laundering and relevant laws.
When identifying clients, the fund management company and its distribution
agents shall decide whether to meet clients in person or not.
a) If the fund management
company and its distribution agents decide not to meet their clients in person,
they must adopt measures, methods and technologies for identifying clients,
adequately collecting clients’ information and verifying clients in accordance
with regulations of the Law on securities, the Law on anti-money laundering,
the Law on electronic transactions and relevant laws on security and
confidentiality of clients’ information;
b) The fund management
company and its distribution agents must adequately retain information and data
about their clients in accordance with regulations of the Law on securities,
the Law on anti-money laundering and relevant laws. Client identification
information must be retained, protected and provided at the request of
competent authorities;
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d) SSC may request the fund
management company and its distribution agents to suspend or terminate their
identification of clients without meeting them in person.
17. The
fund management company must ensure that investments with assets of trustors
that are foreigners or foreign organizations must be made in accordance with
law regulations on foreign exchange management and foreign holdings in
Vietnamese enterprises.
18. When
making outward investments with trust assets raised in Vietnam, the fund management company must comply with regulations of the Law on indirect
outward investment, the Law on foreign exchange management and relevant laws.
Such indirect outward investments shall be made if permitted by the fund’s
charter, charter of the securities investment company and trust agreement.
19. The
fund management company shall keep confidentiality of information about
clients, their asset transactions and investment portfolios, and other relevant
information, unless such information is provided at the request of SSC or
competent authorities.
20. The
fund management company shall:
a) Separate its headquarters and
information technology infrastructure with those of other entities. If the fund
management company is using information technology infrastructure of its parent
or subsidiary company or an organization that is its related person, it
must adopt a mechanism for decentralization of powers and information
confidentiality in order to ensure that the parent or subsidiary company or the
organization that is its related person cannot access its computer and database
system;
b) Separate material
facilities, personnel and database among operations with potential conflict of
interests in the company, including the separation between trust asset
management, investment research and analysis, investment execution and
securities investment consulting. The rights to use the computer and database
system shall be decentralized to every individual and every department
depending on their working position according to regulations on internal
control;
c) Separate material
facilities, personnel and database between its financial investments and
management of securities investment funds, management of securities portfolios
and securities investment consulting.
21. When
making financial investments with the owner's equity, the fund management
company shall:
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b) Not use its capital, loans
and other lawful funding sources to make investments in derivatives;
c) Not lend or allocate the
company’s capital to any entities in any forms, except deposits at credit
institutions as prescribed by the Law on banking, investments in deposit
certificates, treasury bills or listed bonds issued in accordance with
regulations of law;
d) Perform economic
contracts/transactions between the company and its related persons after
obtaining approval from the General Meeting of Shareholders or Board of
Directors or Board of Members or the company’s owner in accordance with the
company’s charter and the Law on enterprises;
dd) Use lawful funding
sources, including loans, to invest in the company’s headquarters. The fund
management company may lease the unused area of its headquarters;
e) The fund management
company shall submit reports to SSC on investments in its subsidiary companies,
joint-venture or associate companies and increase/decrease in these investments
within 30 days from the completion of investment procedures, occurrence of
changes in the investment value or disinvestment. Such reports shall be
prepared according to the form in Appendix X enclosed herewith;
g) The fund management
company and its related persons (excluding related persons that are securities
investment funds or companies it manage) may make an investment of up to 5% of
voting shares of a securities company listed or registered on Stock Exchanges
(SEs).
22. The
fund management company must obtain an approval from SSC and have the
investment limit set by the State Bank of Vietnam (SBV) before making any
indirect outward investments. Indirect outward investment must comply with
Point a Clause 21 of this Article, regulations of the Law on investment, the
Law on banking and the following rules:
a) The investment made by the
fund management company shall not exceed 20% of its owner's equity recorded on
the latest audited annual financial statements, reviewed semi-annual financial
statements and quarterly financial statements and the investment limit
confirmed by SBV. The fund management company shall only make indirect outward
investments in investment vehicles prescribed by SBV;
b) If the investment
portfolio of the fund management company exceeds the prescribed limit due to
the price fluctuation of assets or inheritance of asset-related rights, the
fund management company shall take appropriate corrective measures to ensure
its compliance with the investment limit prescribed in Point a of this Clause
within 03 months from the occurrence of such excess.
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24. When
submitting ownership reports and disclosing information about transactions on
securities market, the fund management company shall:
a) The fund management
company and its trustors must comply with law regulations on ownership
reporting and disclosure of information on securities market by major
shareholders of public companies, investors holding at least 5% of fund
certificates of a closed-end fund, internal actors and their related persons;
b) The obligation to report
ownership and disclose information shall be performed when:
- The
quantity of shares/fund certificates held by the fund management company and
its trustors is accounted for at least 5% of voting shares of a public company
or at least 5% of total fund certificates of a closed-end fund, except trustors
that are exchange-traded funds (ETFs);
- The
fund management company is a related person of an internal actor as prescribed
by law, except exchange transactions of ETFs and periodic portfolio
restructuring according to ETF benchmarks;
- Ownership
reporting, information disclosure, methods and time of disclosing information,
ownership report and information disclosure forms shall comply with law
regulations on disclosure of information on securities market;
c) Perform other obligations
to report ownership and disclose information in accordance with law regulations
on disclosure of information on securities market. In case trust assets
are held in the names of trustors, the trustors shall fulfill the obligation to
report ownership and disclose information as prescribed by law.
25. The
fund management company shall provide annual training for its employees or
appoint certified securities professionals to attend training courses provided
by SSC (if any) in order to ensure that its employees are fully updated with
skills, professional operations and knowledge about law. Report on the
company’s training must be enclosed with its annual report on operations sent
to SSC.
26. The
fund management company shall promptly and adequately update changes in its
organizational structure and operation in the fund management company database
managed by SSC.
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1. The
fund management company must not be a related person, owner, lender or borrower
of the supervisory bank or depository bank of the securities investment fund or
securities investment company that it manages. Members of the Board of
Directors or Board of Members, internal audit unit, Board of Controllers,
company’s president, Executive Board, and employees of the fund management
company are not allowed to work at departments providing depositing, fund
supervision and administration services at these banks and vice versa.
2. The
fund management company and its related persons may contribute capital and make
investments in the securities investment fund or company that it manages if
permitted by the fund’s charter and charter of the securities investment
company, except unlicensed operations specified in Point b Clause 6 of this
Article.
3. The
fund management company, its parent company, subsidiary companies,
joint-venture and associate companies, members of the Board of Directors or
Board of Members, Board of Controllers, Executive Board, and employees may be
buyers or sellers of trust assets it manages according to the following rules:
a) Transactions are made
according to the order matching method at SEs;
b) Transactions that are not made
according to the order matching method must be approved in writing by trustors
or their representatives. A written approval given by a trustor must specify
the type of traded assets, trading partners or criteria for determining trading
partners, transaction price or rules for determining transaction price, and
time of transaction.
4. Before
and after every securities transaction, members of the Executive Board and
employees of the fund management company must report it to the company’s
internal control unit. A report on personal transaction must specify name
of traded securities, transaction quantity, price, total value, transaction
time, trading account number, and securities company where trading account is
opened. Reports on personal transactions must be kept and managed by the
company’s internal control unit and provided at the request of SSC.
5. Members
of the Board of Directors or Board of Members, Executive Board, and employees
of the fund management company are not allowed to request, claim or receive,
whether in their personal name or in the company’s name, any remunerations,
profits or benefits, except service charges and bonuses specified in Clause 9
of this Article according to the fund's charter, charter of the securities
investment company and trust agreement.
6. When
managing trust assets, the fund management company shall:
a) Not use assets of a
securities investment company or fund to make investments in that securities
investment company or fund;
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c) Not use assets of a public
fund or public securities investment company to make investments in the fund
management company itself; not make investments in organizations that are its
related persons in case assets of an ETFs are used to invest in securities on
the list of component securities of benchmarks; not make investments in
organizations of which members of the Board of Directors or Board of Members or
Executive Board or employees of the fund management company are shareholders or
own more than 10% of charter capital.
The fund management company
may use capital of member funds, private securities investment companies,
assets of trustors to make investments in the abovementioned organizations if
the fund’s charter, charter of the private securities investment company, trust
agreement or capital contribution agreement allows the fund management company
to make such investments at a suitable service charge and in conformity with
Point b of this Clause;
d) Not lend trust assets in
any forms, or use them as a security for any loans or debts of the fund
management company, its related persons or any other entities. This regulation
does not apply to the trustor that is a foreigner or foreign organization duly
established under the law of a foreign country and has approved the
abovementioned transactions or trustors that are also owners of trust assets;
dd) Use assets of trustors to
invest in derivatives listed at SEs with the aims of preventing risks to
underlying securities held by trustors. The use of assets of securities
investment companies/funds to invest in derivatives must comply with law
regulations on securities investment funds;
e) Not comment on or
guarantee income or profit on the trustors’ investments and not make no-loss
guarantee, except investment in fixed-income securities; not enter into trust
agreements to make investments in bonds whose interest rate is not conformable
with the actual market status and the company’s investment analysis results;
not make any direct or indirect compensation for partial or entire losses on
trustors’ investments;
g) Not conduct transactions
to increase profit of a trustor by reducing profit of another trustor; not
enter into contracts and conduct transactions containing terms and conditions
unfavorable for trustors.
7. The
fund management company may only use the owner's equity and capital of trustors
to buy and own (excluding shares of trustors that are ETFs) at least 25% of
voting shares of a public company, or outstanding fund certificates of a
closed-end fund if:
a) It has obtained written
consent of trustors or their representatives to tender offer, offered price,
volume of assets to be purchase and methods for distributing assets after
tender offer;
b) The fund management
company shall perform the tender offer in accordance with regulations on tender
offers laid down in the Law on securities.
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9. Except
open-end funds, the fund management company may receive performance bonus as prescribed
in the fund’s charter, charter of the securities investment company and trust
agreement. The performance bonus shall comply with the following rules:
a) It is calculated on the
basis of the annual profit of the securities investment fund or securities
investment company in excess of the reference profit determined according to
the market growth rate, structure of the investment portfolio and other
criteria defined in the fund’s charter, charter of the securities investment
company and trust agreement;
b) It must be used to offset
or not be paid if there are losses on investments in previous years which are
not yet offset.
Article
12. Operational authorization
1. During
its business, the fund management company may:
a) Authorize the depository
bank, supervisory bank, and VSDCC to provide fund management services or act as
transfer agent for securities investment funds and securities investment
companies;
b) Authorize foreign
organizations to provide consulting services and manage assets abroad of trustors.
2. When
giving authorization as prescribed in Clause 1 of this Article, the fund
management company must ensure that:
a) The fund management
company is allowed to give authorization as prescribed in the fund’s charter,
charter of the securities investment company and trust agreement. In case of
authorization prescribed in Point b Clause 1 of this Article, the foreign
organization must be licensed by the foreign securities authority to perform
authorized operations and bear the supervision and inspection of this
authority;
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c) The authorized party must
be capable and have appropriate system, personnel and experience to perform
authorized operations;
d) The personnel, operational
procedures, reporting and report approving system of the department in charge
of providing relevant authorized services of the authorized party must be separated
from those of its other departments;
dd) The authorized party
shall provide the fund management company with independent audit reports on
authorized operations and documents to serve the inspection by the fund
management company as prescribed in Point c Clause 3 and Clause 4 of this
Article;
e) The operational
authorization and authorized parties in Point a Clause 1 of this Article must
be specified in the fund’s charter/charter of securities investment company.
The operational authorization and authorized parties in Point b Clause 1 of
this Article must be approved in writing by the General Meeting of Investors of
the securities investment fund, the General Meeting of Shareholders of the
securities investment company, and trustors.
3. When
giving authorization, the fund management company shall:
a) Before entering into
service contracts with the authorized party, the fund management company must
carry out the due diligence and examine material facilities of such authorized
party in order to ensure that it has adequate material facilities, technical
solutions, operational process, and experienced and qualified personnel for
performing authorized operations;
b) Enter into the
authorization contract with the authorized party. The authorization contract
shall be prepared according to the form in the Appendix IX enclosed herewith;
c) Carry out regular
inspections to ensure that authorized operations have been prudently and safely
performed in conformity with regulations of law, the fund's charter, charter of
the securities investment company, trust agreement, and the quality of services
provided by the authorized party is conformable with criteria and requirements
of the company and trustors. The fund management company is entitled to employ
independent consultants or services provided by other professional
organizations that are operating under the law to fulfill its responsibility in
this Point. The fund management company is required to prepare
monthly report on inspection of authorized operations;
d) Maintain employees with
experience, qualification and skills appropriate for supervising, identifying
and managing risks arisen from authorized operations;
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e) The authorization shall
neither reduce nor change responsibilities of the fund management company
towards its trustors. The fund management company shall accept any financial
and legal liabilities arising from its authorization, except legal liabilities
and service charges/fees which are agreed upon and paid directly to the
authorized party under the trust agreement, supervisory contract or depository
contract, as prescribed in the fund’s charter, charter of the securities
investment company and relevant laws. The fund management company must ensure
the continuity of authorized operations, and avoid causing any interruption and
influence on investments and provision of services to trustors;
g) Provide relevant
information to the authorized party in a sufficient, timely and accurate manner
in order that the authorized party can fully and promptly fulfill its rights
and duties within the scope of authorization;
h) Adequately, punctually and
accurately keep instructions, requests and documents sent to the authorized
party for performing authorized operations, the authorization contract and
record of assessment of capacity and material facilities of the authorized
part. These documents must be provided at the request of SSC;
i) Within 10 days from the
conclusion of the authorization contract with the authorized party to perform
the authorized operations in Point b Clause 1 of this Article, the fund
management company shall notify SSC of this authorization and provide it with
documents proving the authorized party’s fulfillment of the requirements in
Clause 2 of this Article.
4. Inspection
reports prescribed in Point c Clause 3 of this Article and other relevant
documents must be provided for the Board of Directors, Board of Members or
owner of the fund management company, the fund’s representative board, Board of
Directors of the securities investment company, relevant supervisory bank and
SSC within 30 days from the reporting date.
Article
13. Termination of the fund management company’s rights and obligations to its
trustors, and replacement of the fund management company
1. The
fund management company shall terminate its rights and obligations to its
trustors in the following cases:
a) The fund management
company voluntarily requests its rights and obligations to its trustors
according to the fund’s charter, charter of the securities investment company
and trust agreement;
b) Rights and obligations of
the fund management company are terminated at the request of the General
Meeting of Investors of the securities investment fund, the General Meeting of
Shareholders of the securities investment company, and trustors;
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d) The fund management
company is re-structured;
dd) The licensed operating duration
of the securities investment fund/ securities investment company has expired or
the trust agreement ceases to have effect.
2. The
fund management company must hold the General Meeting of Investors of the
securities investment fund, the General Meeting of Shareholders of the
securities investment company, or meeting of trustors to get their opinions
about the asset settlement plan and the substitute fund management company in
the case in Point a, c or d Clause 1 of this Article.
3. Within
05 working days from the date on which the decision on replacement of the fund
management company is approved by trustors, the substitute fund management
company shall:
a) With regard to trustors,
the fund management company shall notify and provide SSC with the following
documents, including: the principle contract on termination of rights and
obligations signed between the trustor and the replaced fund management
company; the principle contract on investment trust signed between the trustor
and the replaced fund management company; methods for transferring rights and
obligations between two fund management companies, principle contract on
depositing of assets and relevant contracts/documents. Within 07 working days
from the notification date, the replaced fund management company shall disclose
information about the receipt of transferred trust assets on its website,
notify it to the depository bank, and fund management companies shall implement
the plan for transfer of rights and obligations with the trustor;
b) With regard to securities
investment funds/companies, the fund management company shall apply to SSC to
modify the certificate of fund registration or establishment and operation
license of the securities investment company with respect to replacement of the
fund management company.
4. The
replaced fund management company’s rights and obligations to a trustor shall be
terminated from the time of completion of registration or transfer of ownership
of trust assets, or when assets, ownership certifications, receipts, books and
information about trust assets, rights and obligations to the trustor are fully
transferred to the substitute fund management company. Transfer of assets must
be completed within 06 months from the date on which the decision on
replacement of the fund management company is approved by the trustor. The
termination of fund management company’s rights and obligations to the trustor
shall comply with Clause 1 Article 27 hereof.
5. Within
07 working days from the date of completion of transfer works, the substitute
fund management company shall provide SSC with the record of transfer of
responsibilities and assets between two fund management companies. This record
must be certified by the trustor or its representative and the depository
bank/supervisory bank.
6. The
replaced fund management company shall take full responsibility for debts and
asset liabilities to the trustor which are not yet transferred to the
substitute fund management company. In this case, the replaced fund management
company shall settle and remedy consequences that occur within 05 years from
the date of completion of transfer of assets to the substitute fund management
company as prescribed in Clause 5 of this Article.
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Section 2.
MANAGEMENT OF SECURITIES INVESTMENT FUNDS
Article 14.
Establishing and managing funds under the law of Vietnam
1. The
fund management company is entitled to raise funds domestically and overseas to
establish and manage securities investment funds and securities investment
companies.
2. Conditions,
procedures and application for offering, establishment and operation of
securities investment funds and securities investment companies shall comply
with the Law on Securities.
Article
15. Establishing and dissolving funds under a foreign country’s law
1. The
fund management company is entitled to raise funds in a foreign country to
establish a fund under the law of that foreign country.
2. Within
30 days from the date of completion of application for establishment or
dissolution of a fund with a foreign competent authority, the fund management
company shall notify and provide SSC with the following documents:
a) Valid copies of the
certificate of offering of fund certificates, certificate of fund registration
as prescribed by the foreign country’s law or other documents of equivalent
validity; or documents certifying the fund dissolution issued by foreign
competent authorities;
b) Valid copies of documents
included in the application for fund registration or fund dissolution as
required by foreign competent authorities, including minutes of meetings of or
resolutions of the General Meeting of Investors or the fund representative
board of equivalent organization of the fund on the fund dissolution.
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Section 3.
MANAGEMENT OF INVESTMENT PORTFOLIOS
Article
16. General provisions on management of investment portfolios
1. The
fund management company shall manage a trustor's investment portfolio on the
fund management company’s account or the trustor’s account under terms and
conditions of the trust agreement signed with the trustor and in accordance
with law regulations. In case the trustor is an organization, the trust
agreement must be signed by the trustor’s legal representative or authorized
representative, enclosed with the letter of authorization made in accordance
with regulations of law.
2. The
trust agreement must contain basic contents as prescribed in Appendix III
enclosed herewith and shall:
a) Not have any terms that
facilitate the fund management company’s avoidance of legal liability to pay
compensation for damage caused by its mistake or deliberate commission of
violations;
b) Not have any terms that
limit the scope of compensation or financial liabilities to the trustor without
legitimate reasons; or transfer the risks to the trustor in case it has
mistakes or deliberately commits violations;
c) Not have any terms of
unfair treatment to the trustor.
3. The
trust agreement, the trustor's approvals that allow the fund management company
to act as the owner of trust assets and conduct transactions, notifications of
investment limits, investment orders, orders for exercise of rights of asset
ownership prescribed in this Article shall be prepared either in physical or
electronic form. Electronic documents must comply with the Law on
e-transactions and its guiding documents. The fund management company must
develop its own technological infrastructure to ensure security and
confidentiality of clients’ information, store and provide data at the request
of SSC and competent authorities.
4. When
using a trustor’s assets to make investments, the fund management company shall
comply with the following provisions:
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b) The fund management
company may use the trustor's assets to make capital contribution, purchase
shares/stakes in unlisted or unregistered enterprises; make investments in
privately placed corporate bonds, unlisted bonds, projects, real estate and
assets other than listed and registered securities; conduct repo transactions
in assets other than the Government’s debt instruments, Government-backed bonds
and municipal bonds if such activities are permitted under the trust agreement.
Such investments and transactions must comply with the following rules:
- The
asset ownership is registered in the trustor’s name, unless otherwise requested
in writing by the trustor. If the fund management company is requested to act
as the asset’s owner on behalf of the trustor, before conducting any
transaction, the fund management company must obtain the trustor’s written
consent to the transaction and report transaction results to the trustor after
completing the transaction. Transaction asset, originals of legal documents
certifying asset ownership or originals or valid copies of the transaction
contract/payment receipts must be adequately deposited and kept at the
depository bank appointed by the trustor;
- With
regard to repo transactions in assets other than the Government’s debt
instruments, Government-backed bonds and municipal bonds, the trustor must act
as a party of the transaction;
c) If the fund management
company is requested to act as the asset’s owner on behalf of the trustor that
is an insurer, credit institution, securities company or public company, the
fund management company shall request the trustor to specify investment limits
in writing and assume legal responsibility for type and volume of invested
asset, investment value and methods in conformity with regulations on
operations of the trustor, the Law on securities and charter of the trustor,
especially in the following cases:
- Investments
are made in the trustor: Investment in shares issued by the trustor must comply
with regulations of the Law on enterprises and relevant laws;
- Investments
are made in parent company, subsidiaries, joint-venture companies, associate
companies and other organizations that are related persons of the trustor;
organizations that are related persons of members of the Board of Directors or
Board of Members or company’s president of the trustor;
- Investments
are made in real estate, investment projects developed and managed by the
trustor, its parent company, subsidiaries, joint-venture companies or associate
companies, or organizations that are related persons of members of the Board of
Directors or Board of Members or company’s president of the trustor;
- The
trustor must notify, report and disclose information, get approval from
competent authorities for the abovementioned transactions and investments in
accordance with regulations on operations of the trustor, and approval from the
General Meeting of Shareholders, Board of Members, Board of Directors and
company’s owner for the abovementioned transactions and investments in
accordance with the charter of the trustor;
d) If the ownership of the
trust asset is in the name of the trustor, neither the fund management company
nor the trustor may lend the trust asset or use it as a security for any loans,
or for pledging, mortgaging, depositing or as a collateral in secured
transactions for any entities, including the fund management company or
trustor;
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5. In
case the fund management company manages investment portfolio on the trustor’s
account, the trustor shall notify the securities company and depository members
of entrustment of management of the investment portfolio to the fund management
company, and also provide them with the trust agreement or another letter of
authorization allowing the fund management company to conduct transactions on
the trustor’s account.
6. During
the validity of the trust agreement allowing the conduct of transactions on the
trustor’s account prescribed in Clause 5 of this Article, the securities
company and depository members shall only receive and perform trading orders,
investment orders and payment orders from the fund management company and make
certification of the trustor’s deposited assets on periodical reports on
management of investment portfolios of the fund management company.
The fund management company shall assume responsibility to fulfill its
obligations to manage the investment portfolio, deposit assets, make ownership
reports and disclose information and fully exercise rights of ownership in
order to fully perform rights, benefits and obligations of the trustor
according to regulations hereof.
7. In
case investments are made as requested by the trustor, the fund management
company shall:
a) Have an investment order
given by the trustor in which the type of invested asset or
investment-receiving organization, investment value or volume of invested
asset, investment time and period, and name of owner of the invested asset must
be specified;
b) In case the fund
management company is requested to act as the asset's owner on behalf of the
trustor:
- The
fund management company shall request the trustor to provide adequate
information ensuring that the trustor and its transaction partner,
investment-receiving organization meet all transaction conditions laid down in
Clause 4 of this Article and comply with regulations on operations of the
trustor and the investment-receiving organization, and relevant laws;
- In
case of investment in securities of a public company, public fund or public
securities investment company, the trustor shall directly perform or authorize
the fund management company in writing to perform ownership reporting and
information disclosure obligations as prescribed in the Law on securities as
internal actors and their related persons (if the trustor is an internal actor
or its/his/her related person as defined in the Law on securities) or a major
shareholder (if the trustor is a major shareholder) or investor holding at
least 5% of fund certificates as prescribed in the Law on securities (in which
the number of shares or fund certificates owned by the trustor includes those
in the trustor’s name and those invested and owned in the name of the fund
management company on behalf of the trustor).
Article
17. Investment policies
1. The
fund management company shall consolidate client identification information,
including information about their beneficiaries (if any); financial health,
investment experience, investment duration, investment objectives, acceptable
level of risks, investment limits, sample investment portfolio and other
requirements (if any) of the client; other necessary information concerning
investment limits prescribed in Clause 4 Article 16 hereof.
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3. The
fund management company shall establish investment rules and policies to meet
trustors’ demand based on consolidated information prescribed in Clause 1 of
this Article. An investment policy must be clear and detailed, and fully
indicate basic information about the level and type of risks, sample investment
portfolio, administrative expenses, rights and responsibilities of the parties
and other relevant important information. The investment policy is an integral
part of the trust agreement.
4. In
case the fund management company does not comply with the investment policy
specified in the trust agreement, it shall adjust the investment portfolio
within 15 days from the date of detection of such difference, incur all
expenses related to this transaction and not charge management service for the
part of investment portfolio that is unconformable with the investment policy.
5. With
regard to any losses or profits from the investment which is unconformable with
the investment policy or investment objectives, the fund management company
shall pay compensation to the trustor under the written agreement between two
parties or include all profits into the trustor’s portfolio immediately after
adjusting the investment portfolio.
6. Regulations
in Clause 4 and Clause 5 of this Article shall not apply in case the difference
in the investment portfolio is caused by:
a) Price fluctuation of the
assets in the trustor’s investment portfolio;
b) Payments made at the
request of the trustor;
c) Consolidation, merger,
full or partial division of the issuers;
d) The difference arises
within 06 months from the effective date of the trust agreement.
Article
18. Investment implementation
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2. The
fund management company shall conduct transactions in assets between investment
portfolios of trustors according to the following rules:
a) Any transactions in assets
which are not listed securities or securities registered for trading on SEs
require prior written approval from transaction parties. Such written
approval must include the price, volume and time of transaction;
b) With regard to assets that
are listed securities or securities registered for trading on SEs:
The transaction requires the
prior approval given by the transaction parties or must be notified to relevant
parties under the signed contract; additionally, the buying (selling) price
shall not be higher (lower) than the closing price at the trading day or the
trading price determined by the fund management company within the price margin
at the trading day under the signed contract.
Article
19. Depositing assets of trustors
1. When
managing investment portfolios, the fund management company is allowed to open
depository accounts in its name at different depository banks to deposit trust
assets according to the following rules:
a) Only a depository account
for domestic trustors and a depository account for foreign trustors are opened
at a depository bank;
b) A trustor may select one or
several depository banks where the fund management company opens its depository
accounts as prescribed in Point a of this Clause to deposit trust assets;
c) Assets of a trustor must
be fully and punctually registered and deposited at the depository bank(s)
selected by the trustor, separately and independently managed according to the
following rules:
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With regard to assets which
require ownership registration but are not yet registered in the name of the
fund management company, the fund management company shall deposit the
originals or valid copies of the transaction contract and transaction documents
at the depository bank. The depository bank shall give certification of
registration and depositing of these assets on periodical reports on management
of investment portfolios of the fund management company until completing the
ownership registration;
- With
regard to assets of which the ownership must not be registered as prescribed by
law, the fund management company shall deposit the originals or valid copies of
the transaction contract and transaction documents at the depository bank;
- With
regard to bank deposits and deposit contracts, the fund management company
shall provide adequate information about such deposits and values of deposit
contracts for the depository bank that shall monthly verify them with
depository institutions;
- The
fund management company shall request the issuers, investment-receiving
organizations, depository institutions or organizations managing shareholder
registers to carry out monthly verification and certification of asset
ownership with the depository bank;
d) The settlement for the
transactions of listed or registered securities must comply with the rule of
transfer of securities on the settlement date, and rules of clearing and
settlement as prescribed by laws. The payment for transactions of other
assets shall be made in accordance with the legitimate orders and directives of
the fund management company and other relevant laws. Bank transfers,
payments and transfer of securities must be made correctly to transaction
partners of trustors/accounts of trustors. Each payment must be conformable
with the volume of assets/securities and the amounts specified in the payment
receipt. Invoices, accounting records, electronic information and documents
certifying payment and completion of transactions for trustors must be fully
and accurately retained. Except transactions in assets between investment
portfolios of trustors as prescribed in Clause 2 Article 18 hereof, the fund
management company and depository bank/supervisory bank shall not make internal
transfer of any amounts of money and assets between accounts of trustors;
dd) The fund management
company must sign depository contract with the depository bank, deposit all
assets acquired in Vietnam, and separately manage assets of trustors. The
depository contract must be conformable with the trust agreement and, inter
alia, contain the primary contents specified in Appendix IV enclosed herewith.
2. Trust
assets, whether tangible or intangible, shall be registered and deposited on
depository accounts in the name of the fund management company but still under
the ownership of trustors and shall be considered as assets of neither the fund
management company nor depository bank. Neither the fund management company nor
depository bank may use these assets to make payments or as security for their
debts or debts of a third party or the trustor.
3. The
fund management company ensures that the trustor shall inherit the entire
ownership of its/his/her assets on the trust account according to the following
rules:
a) The fund management
company shall only be the authorized representative of the trustor and shall
only perform authorized operations as specified in the trust agreement;
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c) The fund management
company shall exercise the voting right and other rights of ownership according
to the trustor’s written directive; punctually, fully and accurately notify the
trustor of rights and benefits arising from the trustor’s assets.
Article
20. Receiving and returning assets of trustors
1. When
managing investment portfolios, the fund management company may receive
nonmonetary assets for management. An asset received and managed by the fund
management company must meet the following requirements:
a) It is under the ownership
of the trustor; there are adequate legal documents proving the trustor’s
ownership of that asset;
b) It is freely transferable
and not restricted from transfer at the effective date of the trust agreement;
c) It is not pledged,
mortgaged, put up as collateral, security, guarantee or deposit in secured
transactions as prescribed by the Civil Code.
2. The
trustor shall transfer the ownership of assets on the trust portfolio to the
fund management company according to the following rules:
a) With regard to assets
whose ownership is registered, the trustor shall carry out procedures for
transfer of asset ownership to the fund management company in accordance with
regulations of law. Where the trust assets are securities which have been
listed, registered or deposited, the transfer of asset ownership shall be
performed through VSDCC without incurring service charges. The transfer of
ownership of other assets will be carried out in accordance with regulations of
relevant laws;
b) With regard to assets
whose ownership is not registered, the capital entrustment shall be made by
transfer of the trust asset which must be duly recorded. The record of transfer
of trust asset must specify:
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- Number
of enterprise registration certificate or establishment decision or another
document of equivalent validity of the trustor that is an organization; full
name, contact address, number of ID card, citizen identity card or passport or
other valid personal identification papers of the legal representative or
authorized representative of the trustor that is an organization; enclosed with
the minutes of meeting or resolution of the General Meeting of Shareholders,
Board of Members, Board of Directors, or owner’s decision on entrustment of
asset to the fund management company in conformity with the charter of the
trustor;
- Type
and volume of trust asset; value of trust asset; transfer date; signature of
the trustor or the trustor’s representative and signature of legal
representative of the fund management company.
c) An asset shall be treated
as entrusted to the fund management company when the lawful ownership of asset
has been transferred to the fund management company.
d) The value of the trust
asset specified in the trust asset shall be determined by adopting the method
of determination of net asset value in accordance with regulations on
securities investment funds. With regard to assets other than listed
securities, registered securities or negotiable instruments, the valuation of
the trust asset may be carried out by the valuation enterprise in accordance
with regulations on pricing.
3. The
fund management company shall return the trust asset to the trustor at
its/his/her written request according to the trust agreement. The transfer of
asset ownership shall be made according to the trustor’s directive and the
rules in Clause 2 of this Article. In case of return of assets which are registered
or deposited securities, VSDCC shall carry out the transfer of asset ownership
outside the securities trading system at the written request of the fund
management company, trustor and depository bank.
Article
21. Management of indirect outward investment portfolios
1. The
fund management company shall manage indirect outward investment portfolios
after obtaining approval from SSC and indirect outward investment limits set by
SBV.
2. Management
of indirect outward investment portfolios must comply with regulations on
management of securities investment portfolios herein, the Law on investment
and the Law on banking.
3. The
fund management company must enter into an indirect outward investment trust agreement
with the trustor; such agreement must indicate the trust amounts, trust
duration, indirect outward investment vehicles, rights and obligations of the
parties, and comply with Clause 1 and Clause 2 Article 16 hereof and relevant
laws. Indirect outward investment trust agreements must be separated from
domestic investment trust agreements.
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5. The
fund management company shall enter into a depository contract with a foreign
depository institution to deposit assets used to make indirect outward
investments. The foreign depository institution must be licensed to provide
depository services in accordance with regulations of the foreign country’s
law.
The fund management company
shall enter into a contract with a depository bank in Vietnam; the depository
bank in Vietnam may authorize a foreign depository institution to deposit
assets used for making indirect outward investments and shall be fully
responsible for such authorized depository service.
6. Within
05 working days from the date on which the fund management company enters into
a depository contract with a foreign depository institution or the depository
bank in Vietnam enters into an authorization contract with the foreign
depository institution, or from the replacement of the foreign depository
institution, the fund management company shall notify and provide SSC with the
depository contract, authorization contract, copy of certificate of securities
depository registration or another document of equivalent validity of the
foreign depository institution.
7. Depositing
and authorization to deposit assets used for making indirect outward
investments must comply with regulations herein, regulations on securities
investment funds and relevant laws.
Section 4.
SECURITIES INVESTMENT CONSULTING
Article
22. Securities investment consulting
1. Securities
investment consulting includes:
a) Providing advice to
clients about investment policies and trading strategies, including investment
allocation structure; invested assets and asset valuation methods;
investment/transaction forms; investment times, volumes and prices which must
be conformable with investment objectives and policies as well as levels of
risks accepted by clients;
b) Publishing printed
materials on securities investment after obtaining permission as prescribed by
the Press Law; formulating and organizing the provision of programs for
improving knowledge and disseminating information about securities investment
and advanced training programs in securities investment.
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3. When
providing securities investment consulting services, the fund management company
must arrange its consultants having securities practicing certificate to
provide advice directly to each client.
4. At
least 05 working days before replacement of a consultant, the fund management
company shall notify it in writing to the client and provide the client with
information about the substitute consultant.
5. The
fund management company must sign securities consulting contract with each
client. The contract must include the following information:
a) Scope of securities
investment consulting, methods of service provision, and assets;
b) Contract term, service
price;
c) Full name and resume of
the consultant’s experience;
d) Rights and duties of the
contract parties.
Article
23. Regulations on securities investment consulting provided by fund management
companies
1. Consulting
service must be provided to clients in a voluntary, fair and truthful manner;
clients must be provided with adequate, timely and accurate information to make
investment decisions.
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3. When
providing consulting for investment in an asset, the fund management company
must ensure that investment is conformable with investment objectives,
acceptable risk level and financial capacity of the trustor; additionally, the
fund management company and its consultant must disclose their benefits related
to that asset if it is owned by the company or its consultant.
4. The
consultant shall clearly imply that his/her advice about investments given to
the client is only for reference purposes and the client shall incur any risks
from its/his/her investment decision.
5. When
providing securities investment consulting, the fund management company and its
consultants shall:
a) Not provide advice to the
client for making investment in an asset without providing adequate information
about that asset and its issuer;
b) Not act as a broker for a
sale or purchase between the client and a third party; not act as a broker for
asset borrowing or lending between the client and the fund management company
or between the client and a third party;
c) Not provide unverified or
false information or rumors to clients; not provide untruthful or misleading
information, forecasts or persuade, entice, incite or induce clients to trade
in assets which are not conformable with their investment objectives,
investment experience, awareness of risks, acceptable risk levels and financial
capacity; not provide information that causes misunderstanding about profits
and risks of an asset;
d) Not offer gifts or use
material benefits in any forms to induce or incite clients to trade in a
certain type of assets; not claim or receive, whether in personal name or in
the name of any entity, remuneration or material benefits, in addition to
service charges prescribed in the signed consulting contract, from clients, the
fund management company or any third party to induce clients to trade in a
certain type of assets;
dd) Not make investments on
behalf of clients, or receive money or assets of clients to make investments or
conduct transactions, unless a trustor has entered into a trust agreement with
the fund management company;
e) Not forecast prices of
assets in the future or guarantee investment returns, except investments in
fixed-income securities or investment products with capital preservation; not
enter into any agreement on sharing of profits or losses with clients.
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OPERATIONS OF
FUND MANAGEMENT COMPANIES DURING REORGANIZATION, BUSINESS SUSPENSION OR
DISSOLUTION
Article
24. Operations of a fund management company during reorganization
1. During
reorganization, the fund management company, and its Board of Directors or
Board of Members, Board of Controllers and Executive Board shall:
a) Ensure the safety of its
assets, not hide or liquidate its assets in any forms and assume legal
responsibility for issues which are not recorded and handed over;
b) Fund management companies
involved in the reorganization are entitled to and responsible for their
rights, benefits and obligations until the fund management company established
after reorganization is issued with or has securities trading license modified;
c) Comply with law
regulations on disclosure of information on securities market.
2. Any
shareholder objecting the reorganization is entitled to request the fund
management company to repurchase its shares. Creditors are entitled to request
the fund management company to pay loans when undergoing reorganization. The
abovementioned requests shall be made in accordance with regulations of the Law
on enterprises.
3. From
the effective date of the securities trading license or the modified securities
trading license of the fund management company that is established after
reorganization, fund management companies involved in the reorganization shall
hand over all rights, benefits and obligations to the fund management company
established after reorganization. The fund management company established after
reorganization shall inherit all rights, benefits and obligations from fund
management companies involved in the reorganization.
4. The
fund management company established after reorganization must disclose
information in accordance with law regulations on disclosure of information on
securities market.
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1. During
its voluntary business suspension, the fund management company must comply with
the provisions in Clause 4 Article 26 hereof.
2. The
fund management company must provide SSC with the documents proving its
maintenance of fulfillment of requirements for issuance of the securities
trading license prescribed in Clause 1 Article 85 of the Law on Securities
before its business resumption. These documents must comply with regulations on
required documents for application for the securities trading license of the
fund management company.
3. Within
15 days from the receipt of documents, SSC shall notify such receipt of
documents for business resumption from the fund management company.
4. SSC
shall disclose information about business suspension of the fund management
company on its website.
Article
26. Operations of a fund management company during compulsory business
suspension
1. SSC
shall issue a decision to suspend business of the fund management company in
the cases prescribed in Article 94 of the Law on Securities.
2. The
maximum duration of compulsory business suspension is 60 days from the
suspension date in the case prescribed in Point a or Point c Clause 1 Article
94 of the Law on Securities, or 06 months from the suspension date in the case
prescribed in Point b or Point d Clause 1 Article 94 of the Law on Securities.
3. Within
15 days from the effective date of the business suspension decision, the fund
management company shall notify trustors of such business suspension; carry out
procedures for getting opinions from the General Meeting of Investors of the
securities investment fund, the General Meeting of Shareholders of the
securities investment company, and trustors about the plan for settlement of
securities investment fund, securities investment company and trust agreements,
and opinions about the substitute fund management company (if any).
4. During
the compulsory business suspension, the fund management company shall:
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b) Not raise funds for
establishing new securities investment funds or new securities investment
companies; not increase charter capital of the managed securities investment
fund or securities investment company;
With regard to effective
trust agreements and operating securities investment funds and securities
investment companies, the fund management company shall conduct transactions
after obtaining written approval from trustors or their representatives (single
authorization). Trustors shall assume responsibility for its authorization to the
fund management company to conduct these transactions;
c) Not pay dividends or share
profits; not convert unsecured debts into debts secured with its assets; not
purchase shares or stakes; not establish any new branches or representative
offices, expand its business or make outward investments; not contribute
capital to or make investments in subsidiaries or associate companies; not
perform any business operations or investments which require SSC’s approval as
prescribed by law;
d) Comply with regulations of
the Law on securities regarding management of securities investment portfolios
and securities investment funds; assure lawful rights and interests of trustors
and assume the full responsibility for trust asset transactions in accordance
with regulations of law;
dd) Prepare a rectification
plan and report the implementation thereof at the request of SSC;
5. The
fund management company shall provide SSC with the documents mentioned in Clause
2 Article 25 hereof and those proving its rectification of the causes of
suspension before its business resumption.
6. Within
15 days from the receipt of adequate documents, SSC shall notify such receipt
of documents for business resumption from the fund management company.
7. SSC
shall disclose information about the compulsory business suspension of the fund
management company on its website.
Article
27. Operations of a fund management company during dissolution
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1. Regarding
management of securities investment portfolios:
a) Within 30 days from the
date of the written approval for dissolution given by SSC, the dissolved fund
management company shall return assets to trustors at their written request;
suspend buying/selling of securities; suspend withdrawal/payment of money for
trustors, and close money and asset balances of each trustor;
b) Within 05 working days
from the closing date of trust asset balances, the fund management company
shall submit reports to SSC on investment portfolios of each trustor; notify
and send the investment portfolio account statement to each trustor. The
investment portfolio account statement of each trustor must bear the depository
bank’s certification of money and securities balances maintained at the
depository bank. The notification sent to the trustor must include information
about the proposed substitute fund management company; instructions for
transfer of assets and rights, responsibilities of the trustor to the
substitute fund management company; or proposal for liquidation of the
investment portfolio; or return of assets to the trustor;
c) From the closing date of
money and securities balance on the investment portfolio account, the
depository member shall not perform any trading orders or payment orders from
the fund management company in respect of assets of trustors, except
liquidation of assets, transactions conducted to exercise a trustor’s ownership
or other transactions conducted at the written request or order from the trustor;
d) After 60 days from the
date of the written approval for dissolution given by SSC, if a trustor cannot
select a substitute fund management company or submits a request for
liquidation of investment portfolio, the dissolved fund management company
shall transfer the entire assets and money of the trustor to the investment
portfolio depository account of the substitute fund management company selected
by the dissolved fund management company.
2. Regarding
management of securities investment funds:
a) The fund management
company is required to get opinions from the General Meeting of Investors of
the securities investment fund, or the General Meeting of Shareholders of the
securities investment company about the replacement of the fund management
company. If the dissolved fund management company and General Meeting of
Investors or General Meeting of Shareholders cannot reach an agreement on the
substitute fund management company, the securities investment fund or
securities investment company shall be dissolved in accordance with regulations
on securities investment funds;
b) The transfer of rights and
obligations towards the securities investment fund or securities investment
company into the substitute fund management company shall comply with the
provisions in Article 13 hereof.
3. Regarding
securities investment consulting: The fund management company shall finalize
securities investment consulting contracts within 06 months from the date of
written approval for dissolution given by SSC.
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5. During
the resolution, the fund management company shall continue fulfilling its
obligation to submit reports on management of investment portfolios and
management of securities investment funds as prescribed in Article 29 hereof
and regulations on securities investment funds, enclosed with information about
the status of contract finalization, return of assets to each trustor and
transfer of rights and responsibilities to the substitute fund management
company.
Chapter
V
INFORMATION
PROVISION, REPORTING AND DOCUMENT RETENTION
Article
28. Information provision
1. The
fund management company must adequately retain the following documents at its
headquarters, representative offices, branches, distribution agents and on its
website, and provide them free of charge at the request of investors,
including:
a) The fund’s charter,
charter of the securities investment company, prospectus or summary prospectus,
documents, reports and contracts referred to in the prospectus or summary
prospectus of the securities investment fund or company;
b) Audited annual financial
statements of the securities investment fund or company in at least the last 05
years; semi-annual financial statements and quarterly financial statements of
the securities investment fund or company;
c) Periodical operational
reports of the securities investment fund or company prepared according to
regulations on securities investment funds in at least the last 05 years;
d) Reports on NAV of the
securities investment fund or company prepared according to regulations on
securities investment funds.
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3. With
regard to trustors, the fund management company shall:
a) Provide trustors with
monthly reports on their investment portfolios which are made according to the
form in Appendix V enclosed herewith. These reports must be provided for
trustors in physical form or electronic form if permitted in the trust
agreements. Electronic documents must comply with regulations of the Law on
e-transactions.
b) Provide trustors with
trust agreements, depository contracts and enclosed documents at their request;
c) Provide trustors with
investment portfolio account statements and transaction statements bearing the
depository bank’s certification and information about management of investment
portfolios, and answer any questions of trustors.
4. The
fund management company shall provide trust agreements for SSC at its request.
When providing indirect outward investment trust agreements, the fund
management company must also provide documents proving trustors’ fulfillment of
requirements for making indirect outward investments as prescribed by law.
Article
29. Reporting
1. The
fund management company shall send the following periodic reports to SSC:
a) Monthly and annual reports
on operations of the fund management company which are made according to the
form in Appendix VI enclosed herewith;
b) Monthly reports on
management of investment portfolios of the fund management company, which must
bear the certification of the depository bank where the fund management company
opens depository account, certification of the depository member where the
trustor’s account is opened, or certification of the foreign depository
institution, and made according to the form in Appendix VII enclosed herewith;
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d) Reports on annual internal
audit and reports on annual internal control of the fund management company;
dd) Quarterly financial
statements; reviewed semi-annual financial statements, annual financial
statements audited by approved audit organizations of the fund management
company, which are made according to regulations of the Law on accounting
regarding fund management companies;
2. The
periodical reports mentioned in Clauses 1 of this Article shall be sent within
the following time limits:
a) Monthly reports: within 05
working days from the end of the reporting month;
b) Quarterly reports: within
20 days from the end of the reporting quarter;
c) Biannual reports: within
45 days from the end of the first six months;
d) Annual reports: within 90
days from the end of the reporting year.
3. The
closing dates of the periodical reports mentioned in Clauses 1 of this Article
are provided for as follows:
a) A monthly report shall
include data from the first day to the last day the reporting month (except
data reflected at a given time);
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c) A biannual report shall
include data from January 01 to June 30 of the reporting period (except data
reflected at a given time);
d) A annual report shall
include data from January 01 to December 31 inclusively of the reporting year
(except data reflected at a given time);
dd) The reporting period of a
fund management company whose operating period is less than a reporting period
shall commence from the issue date of its securities trading license to the last
day of the reporting period as prescribed in Points a, b, c and d of this
Clause.
4. The
fund management company shall send required reports to SSC whether in physical
or in electronic form.
5. The
fund management company shall notify SSC of the following events:
a) Replacement, appointment
or dismissal of a member of the Board of Directors or Board of Members. The
notification must be enclosed with the resolution or decision on appointment,
dismissal or replacement of a member of the Board of Directors or Board of
Members, other valid documents proving that the new member of the Board of
Directors or Board of Members meets all requirements laid down in the company’s
charter, the Law on securities and the Law on enterprises;
b) Replacement of chief of a domestic
representative office or replacement of Director of a domestic branch. The
notification must be enclosed with the appointment decision and valid documents
proving that the substitute meets all requirements laid down in the Law on
securities;
c) Modification of the
company’s charter. The notification must be enclosed with the amended charter;
d) Completion of transfer of
shares/stakes of a shareholder or capital-contributing member of the fund
management company, except the fund management company’s shares listed on SEs.
The notification will be made according to the form in Appendix XI enclosed
herewith and enclosed with the valid copy of the contract for share/stake
transfer. If the fund management company is a public company and such transfer
results in the transferee holding at least 25% of voting shares of the fund
management company, the transferee must comply with law regulations on tender
offers of shares of public companies;
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6. The
events in Clause 5 of this Article must be notified to SSC within 03 working
days from the occurrence of the event.
7. The
fund management company shall send reports to the fund’s representative board,
Board of Directors of the securities investment company or trustors in case the
supervisory bank or depository bank is detected to commit violations against
the fund's charter, charter of the securities investment company, supervisory
contract or depository contract; send reports to SSC if any of these
organizations commits violations against laws within 03 working days from the
date on which the violation is detected.
8. Apart
from the reporting cases prescribed in this Article, SSC may request the fund management
company to submit reports on its operations for the purposes of protecting
common interests as well as investors’ interests. The fund management company
must submit reports to SSC within 48 hours from the receipt of the request from
SSC.
Article
30. Information and document retention
1. The
fund management company must adequately, accurately, punctually and
systematically documents and update information/data on its operations in
accordance with regulations of the Law on enterprises. Documents and
information on the company’s operations must be backed up at a location outside
the company’s headquarters.
2. The
fund management company, supervisory bank, depository bank, distribution
agents, and relevant service providers must adequately, systematically,
clearly, accurately and consistently documents concerning responsibilities and
obligations of each organization in accordance with regulations of law and
service contracts. To be specific:
a) Offering and distribution
of fund certificates;
b) Certification of
investor’s ownership of securities investment funds, securities investment
companies, trustors; registration of asset ownership of securities investment
funds, securities investment companies, trustors;
c) Financial statements,
accounting records; chart of accounts, invoices and records which particularly,
accurately and punctually reflect daily trading orders of each trustor, of the
company and its employees, including information about order of trading orders
placed and conducted transactions; electronic documents and information used
for determining NAVs; originals of legal documents of ownership, originals or
valid copies of legal documents certifying asset ownership, asset transactions
and relevant documents must be kept by the fund management company and
supervisory bank, depository bank during the operation of the securities
investment fund, securities investment company and validity period of the trust
agreement;
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dd) All documents related to
operations of the securities investment fund or company.
3. Investment
portfolio, documents used for trading or ownership registration, accounting
records, chart of accounts, electronic documents and information related to
assets or asset transactions of the securities investment fund, the securities
investment company, or trustor must be periodically and regularly checked and
verified by the fund management company, supervisory bank, depository bank and
relevant organizations in accordance with the fund's charter, charter of the
securities investment company, trust agreement and the Law on accounting.
4. Documents
and information prescribed in Clauses 1, 2 and 3 of this Article must be
retained for a period of 10 years. Accounting documents shall be retained in
accordance with regulations on accounting and audit.
Chapter
VI
IMPLEMENTATION
Article
31. Effect
1. This
Circular comes into force from January 01, 2021.
2. This
Circular supersedes the Circular No. 212/2012/TT-BTC dated December 05, 2012 of
the Minister of Finance providing guidelines for establishment, organization
and operation of fund management companies. Article 1, Clauses 1, 3 and 4
Article 7 of Circular No. 91/2019/TT-BTC dated December 31, 2019 of the
Minister of Finance are abrogated.
3. Fund
management companies shall formulate their charters in accordance with
regulations of the Law on Securities No. 54/2019/QH14, the Law on enterprises
No. 59/2020/QH14 and regulations herein. Charter of a fund management company
that is a joint-stock company must be ratified by the General Meeting of
Shareholders held after the effective date of this Circular. Charter of a fund
management company that is a limited liability company must be ratified by its
Board of Members or owner within 06 months from the effective date of this
Circular.
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Article
32. Implementation organization
SSC, VSDCC, fund management
companies, depository banks, supervisory banks and relevant entities are
responsible for the implementation of this Circular./.
PP. THE
MINISTER
DEPUTY MINISTER
Huynh Quang Hai
APPENDIX
I
SAMPLE OF LIST OF MEMBERS OF
BOARD OF DIRECTORS, BOARD OF MEMBERS, EXECUTIVE BOARD AND EXECUTIVES OF A FUND
(Enclosed with the
Circular No. 99/2020/TT-BTC dated
November 16, 2020 of the Minister of Finance)
NAME OF FUND MANAGEMENT COMPANY
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No.:
..............Re: List
of members of Board of Directors, Board of Members, Executive Board, and
executives of the Fund
……….[date
& place]
To: State Securities
Commission of Vietnam
I. List of
members of Board of Directors and Board of Members
No.
Full name
Number of ID card, citizen identity card or
passport
Type of member of Board of Directors (independent/
other)
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Other position held at the fund management company
I
Members
of Board of
Directors
1
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...
II
Members
of Board of
Members
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1
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II. List of members of Executive
Board and executives of the Fund
No.
Full name
Number of ID card, citizen identity card or
passport
Type of securities practicing certificate/ issuing
authority
Working position
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(GENERAL) DIRECTOR OF FUND MANAGEMENT COMPANY
(Signature,
full name and seal)
APPENDIX
II
SAMPLE OF PERSONAL INFORMATION
SHEET
(Enclosed with the Circular No. 99/2020/TT-BTC dated November 16, 2020 of
the Minister of Finance)
SOCIALIST REPUBLIC OF VIET NAM
Independence-Freedom-Happiness
-----------------
Photo
(4 cm x 6 cm)
....., [date & place]
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1.
Full
name:
Male/ Female
2.
Nationality:
3.
Number of ID card, citizen identity card or passport:
4.
Contact address (frequent):
5.
Telephone:
6.
Fax:
7.
Email:
8.
Professional level:
9.
Occupation:
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Name
of training facility; city and country where it is headquartered; name of
training course; training duration; name of qualification (all
qualifications and training programs related to requirements for the position) are
specified
Period
(Month/year)
Training facility
Training major
Name of qualification/ Number of securities
practicing certificate
From …………/………. to …………/…………
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11. Working process (detailed
information about jobs, working positions, performance at each working
position/ reward and discipline, if any, is specified):
Period
(Month/year)
Place of work
Working position
In-charge tasks
Reward/ discipline
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From …………/………. to …………/…………
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13. Current positions at other organizations:
14. Relatives of the declarant:
Full name
Year of birth
Number of ID card, citizen identity card or
passport
Contact address
Occupation, working place
Position
Spouse:……,
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Father:......
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Mother:……
Children:……
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Siblings:…..
I
hereby guarantee the accuracy and truthfulness as well as fully assume legal
responsibility for the aforesaid contents.
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a) Undertakings given by a member of Board of Directors or Board of
Members:
-
I have full legal capacity and incur no prohibitions on corporate management as
per the Law on enterprises;
-
I am not a member of the Board of Directors, Board of Members, or Executive
Board, or fund management practitioner of another fund management company, and
also not a member of the Board of Directors, Board of Members, or Executive
Board, or employee of the depository bank or supervisory bank providing
services to the securities investment fund or securities investment company
managed by the fund management company;
-
I fulfill all of requirements for a member/ independent member of the Board of
Directors laid down in the company’s charter and relevant laws;
-
I will comply with the company’s charter and internal regulations, and relevant
laws;
-
I assume the full responsibility for the truthfulness and accuracy of attached
documents (if any).
b) Undertakings given by General Director (Director), Deputy General
Director (Deputy Director) or employee possessing securities practicing
certificate:
-
I fulfill all of requirements for General Director (Director) or Deputy General Director (Deputy
Director) in charge of securities trading operations as per the Law on
Securities;
-
I will comply with the company’s charter and internal regulations, and relevant
laws;
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CERTIFICATION OF DECLARANT’S SIGNATURE
DECLARANT
(Signature and full name)
APPENDIX III
BASIC CONTENTS OF A TRUST
AGREEMENT
(Enclosed with the Circular No. 99/2020/TT-BTC dated November
16, 2020 of the Minister of Finance)
1.
Investment objectives, scope and limits, acceptable level of risks and requirements of the investor;
2.
Investment rules/policies and types of assets;
3.
Rights and obligations of the parties;
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5.
Types of risks associated with investments made under this agreement, including
failure to preserve the initial investment value;
6.
Types of services;
7.
Specific provisions on obligations to be discharged by the company and its
employees when performing transactions for the company, its employees and
investors in accordance with regulations of law;
8.
Value of trusted capital, validity period of the agreement, and methods for
determination of value of the investment portfolio;
9.
Specific provisions on giving authorization to decide investment to the fund
management company and relevant limits; mechanism for making and approving
investment decision;
10.
Benchmark indexes used as the basis for assessing investment results under each
trust agreement (if any); service charge, calculation and payment method,
payment deadline and other fees payable by the client;
11.
Specific provisions on cash management and depositing/registration of ownership
of investment assets and payment for the investor’s transactions; provisions on
authorization to the fund management company to sign depository contract;
12.
Procedures for replacing investment management officer and notifying it to the
client;
13.
Provisions on confidentiality of information; settlement of disputes and breach
of contract, compensation for damage caused by the parties’ violations;
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15.
Relationship between the fund management company and depository bank;
16.
Prices of depository service and other services payable to the depository bank
as prescribed by laws;
17.
The fund management company’s commitments to comply with regulations of laws in
force and regulations adopted by the State Securities Commission of Vietnam;
18.
Signing date of the agreement;
19.
Conditions for termination of agreement;
20.
Mechanism for liquidating/closing the agreement and returning assets;
21.
Other provisions which must be conformable with law regulations on securities
and securities market.
APPENDIX IV
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1.
The depository bank opens and manages depository accounts according to
instructions and requests of the fund management company;
2.
The depository bank shall separately manage money and assets of each investor,
assets of the depository bank and other assets managed by the depository bank;
in any case, an investor’s funds and assets cannot be used for lending or
guaranteeing loans or paying debts for any other organization or individual;
3.
The depository bank shall act on behalf of the investor to exercise rights
associated with investment assets; make payment for the investor’s transactions
according to regulations of law, the trust agreement and lawful order or
request of the fund management company;
4.
The depository bank shall make certification on reports on assets and the
investor’s activities made by the fund management company; any certification or
approval given by the depository bank for a report or investor’s transaction
only means that the report or transaction is made or conducted in accordance
with regulations of law and the trust agreement;
5.
The depository bank shall fulfill reporting obligations and manage transaction
documents in accordance with regulations of law and the depository contract;
6.
The depository bank shall daily make statement of transactions on investors’
accounts and periodically check and verify money and asset balances of each
investor with the fund management company;
7.
Service charge, and relevant fees and charges;
8.
The depository bank’s responsibilities in case of loss of investors’ money and
assets which is caused by mistakes of the depository bank or its employee(s);
9.
Obligations of the fund management company when conducting transactions for
investors;
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11.
Provisions on confidentiality of information, and settlement of disputes and
breach of contract;
12.
Conditions for termination of operations;
13.
Particulars of officials and employees designated by the fund management
company and depository bank to perform rights and obligations of the parties in
respect to contents of the depository contract;
14.
Other provisions which must be conformable with law regulations on securities
and securities market and the trust agreement;
15.
Signing date of the contract.
APPENDIX V
SAMPLE OF REPORT ON
INVESTMENT PORTFOLIOS SENT TO THE TRUSTOR
(Enclosed with the
Circular No. 99/2020/TT-BTC dated November 16, 2020 of the Minister of Finance)
NAME OF FUND MANAGEMENT COMPANY
--------------
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No.:
..............
……….[date
& place]
REPORT
On trustor’s investment
portfolio
(in…..(month))
To:………………………………………..
I. List of the trustor’s assets
Unit:
VND
No.
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Reporting period
Previous period
Notes
I
Assets:
1
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2
Investment
portfolios (in detail)
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3
Dividend
receivables
4
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5
Proceeds
from selling of securities (in detail)
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6
Other
receivables
7
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Total
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II
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1
Payables
for purchased securities (in detail)
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2
Other
payables
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Investor’s
net asset value (Total assets minus total liabilities)
II. Incomes and expenses of investment portfolio during the
period
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No.
Indicators
Reporting period
Previous period
Year-to-date accumulation
I
Income
from investment activities
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1
Dividend
receivables
2
Interests
received
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3
Other
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II
Expenses
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1
Portfolio
management service charges
2
Depository
service charges
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3
Other
expenses
III
Net
income from investment activities (I-II)
...
...
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IV
Profit
(loss) from investment activities
1
Actual
profit (loss) incurred from investment activities
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2
Changes
in value of investments during the period
V
Change
in portfolio value due to investor’s addition or withdrawal of trust assets
...
...
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1
Value
of trust assets additionally contributed in the period
2
Value
of trust assets withdrawn in the period
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VI
Change
in portfolio value in the period (III + IV +V)
III. Investment portfolio at the reporting date
No.
Type of assets/ ticker symbol
Volume
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Market price at the reporting time
(VND)
Total market price at the reporting time
(VND)
Percentage (%) of total value of the investment
portfolio at the reporting time
A
Listed
and registered securities
I
Listed
shares
1
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2
...
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...
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II
Shares
registered for trading
1
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2
...
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...
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III
Fund certificates
1
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2
...
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...
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IV
Bonds
1
...
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2
...
...
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...
...
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V
Other
listed securities
1
...
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2
...
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...
...
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Total
value of listed and registered securities
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B
Unlisted
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I
Shares
1
...
...
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2
...
...
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....
Total
...
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II
Fund
certificates
1
...
...
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2
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
....
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
III
Bonds
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
...
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
IV
Other
unlisted and unregistered securities
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
...
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
value of unlisted and unregistered securities
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
C
Other
assets
1
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
...
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
D
Cash
1
Cash
and cash equivalents
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
Bank
deposits
Total
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Total
value of investment portfolios
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
IV. List of investment portfolio’s transactions during the
period
No.
Date
Type of securities
Volume
Transaction price
(VND)
Transaction value
(VND)
Notes
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Sell transaction
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Note: This report must bear certification of the foreign
depository institution if indirect outward investments are made.
AUTHORIZED
REPRESENTATIVE OF DEPOSITORY BANK/DEPOSITORY MEMBER/ FOREIGN DEPOSITORY
INSTITUTION
(signature,
full name and seal)
(GENERAL) DIRECTOR OF
FUND MANAGEMENT COMPANY
(Signature,
full name and seal)
APPENDIX VI
...
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NAME
OF FUND MANAGEMENT COMPANY
--------------
SOCIALIST REPUBLIC OF VIET NAM
Independence-Freedom-Happiness
-----------------
No.:
……..
……[date
& place]
REPORT
On
operations of fund management company
(in………(month, year))
To:
State Securities Commission of Vietnam
I. Information about business
operations of the fund management company
...
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No.
Contents
Funds that are juridical persons
Funds that are not juridical persons
Total
Year-to-date accumulation
Public securities investment companies
Private securities investment companies
Real estate securities investment companies
...
...
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Open-ended funds
Real estate investment funds
Exchange-traded funds (ETFs)
Private funds
(1)
(2)
(3)
(4)
(5)=(3)+(4)
...
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1
Quantity
...
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2
Total
capital (VND)
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3
Total
net asset value (NAV) (VND)
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4
Total
management service charges received (VND)
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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
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Ratio
of management service charges to NAVs of funds (%)
...
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Bonuses
(if any) (VND)
...
...
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Issuance
fees (VND)
...
...
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Redemption
fees (VND)
...
...
...
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2. Management of investment
portfolios
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Ongoing
contracts
Number
of contracts
Market
value of contracts (VND)
Investment
portfolio management service charges (VND)
During
reporting period
Year-to-date
accumulation
I
Domestic investors
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1
Individuals
2
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
II
Foreign investors
1
Individuals
...
...
...
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2
Organizations
...
...
...
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III
Total (I+II)
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
3. Securities investment
consulting
No.
Ongoing
contracts
Number
of contracts
Securities
investment consulting service charges (VND)
During
reporting period
Year-to-date
accumulation
I
Domestic clients
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1
Individuals
2
Organizations
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
II
Foreign clients
1
Individuals
...
...
...
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2
Organizations
III
Total (I+II)
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
4. Indirect outward investments
made by the fund management company (if any)
Notes:
- Section 4 is required if
monthly report is prepared;
- If the fund management company
does not make indirect outward investment, the phrase “no investment” shall be
specified in Section 4.
- The exchange rate shall be
determined using the actual trading exchange rates available at the trading
time.
4.1. Compliance with indirect
outward investment limits
No.
...
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Value
USD
VND
1
Indirect outward investment limit
set by State Bank of Vietnam (SBV)
2
Value of investments made by the
end of month
...
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3
Value of investments made during
the month
4
Remaining value of investments to
be made (4) = (1)-(2)
...
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No.
Name
of organization
Address
Nationality
Number
of trading accounts
1
...
...
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...
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4.3. Indirect outward investment
activities
a) Trading of securities on trading
accounts
No.
Type
of securities
Purchase
during the month
Sale during the month
Total
purchase from the beginning of year
Total
sale from the beginning of year
Volume
...
...
...
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Volume
Value
Volume
Value
Volume
Value
1
Shares
...
...
...
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-USD
...
...
...
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- VND
...
...
...
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2
Bonds
...
...
...
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- USD
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- VND
...
...
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3
Certificates
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- USD
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- VND
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Total
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- USD
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- VND
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b) Holding of
securities/indirect outward investments
No.
Type
of securities
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Total
outstanding securities of the issuer determined at the reporting time
Investment
percentage (%)
Volume
Value
at the time of purchase
Market
price at the reporting time
(USD)
Growth
rate in investment assets (%)
USD
VND
(1)
...
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(3)
(4)
(5)
(6)
(7)=(6)/(4)
*100
(8)
(9)=(3)/(8)
*100
I
Investment in securities
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1
Shares
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2
Bonds
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3
Certificates
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II
Other investments
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…….
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Notes:
Column (2): Type of securities
is specified according to ticker symbols of securities held by the fund
management company.
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Column (4): calculated at the
purchase price/contributed capital under contracts;
Column (6): closing prices or
average trading prices determined at the reporting time of listed securities or
fair value of unlisted securities are specified; regarding bonds, columns (8),
(9) may be kept blank.
5. Other business operations
conducted in accordance with laws
No.
Contents
Quantity
Value
(VND)
Accumulated
value (VND)
Average
service charges (%)
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Ongoing contracts (service types
are specified)
…
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2
Contracts concluded in the month,
including:
Contracts for….. (type of contract)
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Domestic parties
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Individuals
Organizations
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...
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Foreign parties
Individuals
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Organizations
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...
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…
Service charges earned
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…
Total service charges earned
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II. Information about personnel,
shareholders and capital-contributing members
1. Organizational structure
No.
Contents
During
reporting period
Previous
period
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Total employees (including
those working at headquarters, branches, representative offices, foreign and
Vietnamese employees)
Including
Number of employees holding
securities practicing certificates
...
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Number of employees holding fund
management practicing certificates
Number of employees holding
financial analysis practicing certificates
...
...
...
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Number of employees holding
securities brokerage practicing certificates
II
Headquarters
1
Total employees
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2
Number of employees holding
securities practicing certificates
2.1
Number of employees holding fund
management practicing certificates
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Number of employees holding fund
management practicing certificates as prescribed in Clause 3 Article 7 of the
Circular providing guidance on operation of securities investment fund
management companies
2.2
Number of employees holding
financial analysis practicing certificates
Number of employees holding financial
analysis practicing certificates as prescribed in Clause 3 Article 7 of the
Circular providing guidance on operation of securities investment fund
management companies
...
...
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2.3
Number of employees holding securities
brokerage practicing certificates
Number of employees holding
securities brokerage practicing certificates as prescribed in Clause 3
Article 7 of the Circular providing guidance on operation of securities
investment fund management companies
...
...
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Branches (information about
every branch is provided)
1
Total employees working at the
branch
2
Number of employees holding
securities practicing certificates
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2.1
Number of employees holding fund
management practicing certificates
Number of employees holding fund
management practicing certificates as prescribed in Clause 3 Article 7 of the
Circular providing guidance on operation of securities investment fund
management companies
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Number of employees holding
financial analysis practicing certificates
Number of employees holding financial
analysis practicing certificates as prescribed in Clause 3 Article 7 of the
Circular providing guidance on operation of securities investment fund
management companies
2.3
Number of employees holding securities
brokerage practicing certificates
...
...
...
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Number of employees holding
securities brokerage practicing certificates as prescribed in Clause 3
Article 7 of the Circular providing guidance on operation of securities investment
fund management companies
IV
Representative offices
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Total employees
2.
Shareholders/capital-contributing members
No.
Information
about shareholders/capital-contributing members
Holdings
at end of month
Individual’s
full name/ organization’s name
Number
of ID Card or citizen identity card or Passport (of individual)/ Number of
enterprise registration certificate (of organization)
...
...
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Contact
address
Nationality
Number
of shares/ value of contributed capital
Ratio
of holding to charter capital (%)
1
...
...
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…
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(The fund management company
that is a single-member limited liability company or public company is not
required to complete this section)
3. Training programs (included
in annual reports only)
No.
Training
programs/contents and duration
Number
of participants
1
…
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
INTERNAL
CONTROLLER
(signature and full name)
(GENERAL)
DIRECTOR OF FUND MANAGEMENT COMPANY
(Signature, full name and seal)
APPENDIX VII
SAMPLE
OF REPORT ON PORTFOLIO MANAGEMENT OPERATIONS
(Enclosed with the Circular No. 99/2020/TT-BTC dated November 16, 2020 of
the Minister of Finance)
NAME
OF FUND MANAGEMENT COMPANY
--------------
SOCIALIST REPUBLIC OF VIET NAM
Independence-Freedom-Happiness
-----------------
No.:
……
…..[date
& place]
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
REPORT
On
portfolio management operations
(in…….(month))
To:
State Securities Commission of Vietnam
1. Names of depository banks where the
fund management company opens depository accounts to serve its management of
investment portfolios:
2. Depository accounts serving
investment portfolio management activities of the fund management company:
3. Reporting date:
A. General portfolio management
report
I. General information about
investment portfolio management activities
No.
...
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Reporting
period
Previous
period
Notes
1
Total number of ongoing trust
agreements
- With organizations (%)
...
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- With individuals (%)
2
Total value of trust agreements
(framework agreements) (VND)
...
...
...
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- With organizations (%)
- With individuals (%)
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total value of trust agreements (actual
disbursed amounts) (VND)
- With organizations (%)
- With individuals (%)
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
4
Total market value of trust
agreements (VND)
- With organizations (%)
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- With individuals (%)
5
Total portfolio management
service charges earned during period (VND)
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
6
Average rate of portfolio
management service charges (5/4)
II. Transactions arising from performance
of portfolio management activities during the period
Buy
transactions
Sell
transaction
Average
total transaction value / average total value of trust assets
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Transaction
value
(VND)
Volume
Transaction
value
(VND)
Current
period
Previous
period
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
III. General information about
trust agreements at each depository bank/depository member or foreign
depository institution (reporting on each agreement)
1. Name of trustor A:
- Depository account:
- Name of depository
bank/depository member/foreign depository institution:
No.
Types
Quantity
Market
price at the reporting time
(VND)
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Rate
(%)/Total value of investment portfolios at the reporting time
A
Listed and registered
securities
I
Listed shares
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
II
Fund certificates
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
III
Shares registered for trading
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
IV
Bonds
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
Total
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
V
Other listed securities
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total value of listed and
registered securities
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Unlisted and unregistered
securities
I
Shares
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
II
Fund certificates
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
III
Bonds
1
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
IV
Other unlisted and unregistered
securities
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total value of unlisted and
unregistered securities
C
Other assets
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
D
Cash
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1
Cash and cash equivalents
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Bank deposits
Total
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total value of investment
portfolios
2. Name of trustor B:
- Depository account:
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
(Information is provided using
the same table as in Section 1)
3..................
IV. General information about
portfolios of each trustor at depository banks/depository members/foreign depository
institutions
1. Name of trustor A:
- Depository account:
- Name of depository
bank/depository member/foreign depository institution:
(All depository accounts and
depository banks/depository members/foreign depository institutions must be
listed)
No.
Types
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Market
price at the reporting time
(VND)
Total
market price at the reporting time
(VND)
Rate
(%)/Total value of investment portfolios at the reporting time
A
Listed and registered
securities
I
Listed shares
1
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
II
Fund certificates
1
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
III
Shares registered for trading
1
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
IV
Bonds
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
V
Other listed securities
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
Total value of listed and
registered securities
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
B
Unlisted and unregistered
securities
I
Shares
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
II
Fund certificates
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
III
Bonds
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
IV
Other unlisted and unregistered securities
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total value of unlisted and
unregistered securities
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Other assets
1
2
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Cash
1
Cash and cash equivalents
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
Bank deposits
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total value of investment
portfolios
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- Depository account:
- Name of depository
bank/depository member/foreign depository institution:
(All depository accounts and
depository banks/depository members/foreign depository institutions must be listed)
(Information is provided using
the same table as in Section 1)
3 ……………………..
V. General information about
trust agreements for portfolio management
No.
Types
Quantity
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Rate
(%)/Total value of investment portfolios at the reporting time
A
Listed and registered
securities
I
Listed shares
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
II
Fund certificates
1
2
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
III
Shares registered for trading
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
IV
Bonds
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
Total
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
V
Other listed securities
1
2
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
B
Unlisted and unregistered
securities
I
Shares
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
Total
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
II
Fund certificates
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Bonds
1
2
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
IV
Other unlisted and unregistered
securities
I
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total value of unlisted and
unregistered securities
C
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1
2
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
D
Cash
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
1
Cash and cash equivalents
2
Bank deposits
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
Total value of investment
portfolios
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
B. REPORT ON MANAGEMENT OF
INDIRECT OUTWARD INVESTMENT PORTFOLIOS (if any)
I. Implementation of limits on
indirect outward investments held in trust
No.
Indicators
Value
USD
VND
1
Trusteeship limit certified by
SBV
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
2
Value of investments held in
trust by the end of month
3
Value of investments held in
trust during the month
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Remaining value of investments to
be held in trust (4)=(1)-(2)
(The exchange rate shall be determined
using the actual trading exchange rates available at the trading time)
II. General information about
management of indirect outward investment portfolios
No.
Indicators
Reporting
period
Previous
period
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
USD
VND
USD
VND
1
Total number of ongoing trust
agreements
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- With individuals (%)
2
Total value of trust agreements
(framework agreements)
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- With organizations (%)
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- With individuals (%)
3
Total value of trust agreements
(actual disbursed amounts)
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- With organizations (%)
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
4
Total market value of trust
agreements
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
- With organizations (%)
- With individuals (%)
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
5
Total portfolio management
service charges earned during period
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
6
Average rate of portfolio
management service charges (5/4)
III. Transactions arising from
performance of portfolio management activities during the period
Buy
transactions
Sell
transaction
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Volume
Transaction
value
Volume
Transaction
value
Current
period
Previous
period
USD
VND
USD
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
(The exchange rate shall be
determined using the actual trading exchange rates available at the trading
time)
IV. General information about
each trust agreement for management of indirect outward investments
1. Name of trustor A:
- Depository account:
- Name of foreign depository
institution:
No.
Types
Quantity
Market
price at the reporting time
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Rate
(%)/Total value of investment portfolios at the reporting time
USD
VND
USD
VND
I
Certificates of deposit
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
II
Government bonds
1
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
III
Listed shares
1
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Listed bonds
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
V
Listed fund certificates
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
...
...
...
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TVPL Pro để sử dụng được đầy đủ các tiện ích gia tăng liên quan đến nội dung TCVN.
Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
VI
Other assets
1
...
...
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Total value of investment
portfolios
...
...
...
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Mọi chi tiết xin liên hệ:
ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
(The exchange rate shall be determined
using the actual trading exchange rates available at the reporting time)
2. Name of trustor B:
- Depository account:
- Name of foreign depository
institution:
(Information is provided using
the same table as in Section 1)
3. ……………………….
V. General information about
trust agreements for management of indirect outward investments
No.
...
...
...
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Quantity
Total
market price at the reporting time
Rate
(%)/Total value of investment portfolios at the reporting time
USD
VND
I
Certificates of deposit
1
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Total
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II
Government bonds
1
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Total
III
Listed shares
1
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Total
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IV
Listed bonds
1
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Total
V
Listed fund certificates
1
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Total
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VI
Other assets
1
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Total
Total value of investment
portfolios
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(The exchange rate shall be
determined using the actual trading exchange rates available at the reporting
time)
Notes:
- Section IV Part A shall be required
in case trustor’s assets are deposited at different depository banks and/or
held in trust on the trustor's accounts;
- In case of receipt of
trusteeship for indirect outward investment, this report must bear
certification of relevant foreign depository institutions; In case there are no
trustors for indirect outward investment, the phrase “no activities” is
specified in part B.
AUTHORIZED
REPRESENTATIVE OF DEPOSITORY BANK/DEPOSITORY MEMBER/ FOREIGN DEPOSITORY
INSTITUTION
(signature, full name and seal)
(GENERAL)
DIRECTOR OF FUND MANAGEMENT COMPANY
(Signature, full name and seal)
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SAMPLE
OF RISK MANAGEMENT REPORT
(Enclosed with the Circular No. 99/2020/TT-BTC dated November 16, 2020 of
the Minister of Finance)
NAME
OF FUND MANAGEMENT COMPANY
--------------
SOCIALIST REPUBLIC OF VIET NAM
Independence-Freedom-Happiness
-----------------
No.:
………
…..[date
& place]
REPORT
On
risk management
(6-month period and annual)
To:
State Securities Commission of Vietnam
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Full name:
Telephone:
Email:
Leader in charge of risk
management:
Full name:
Telephone:
Email:
I. Information about company’s
management and administration
No.
List
Description
Board of Directors/ Board of
Members and Board of Controllers
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1
Information about structure of Board
of Directors/Board of Members; working process, year of experience in
corporate management and administration in securities sector of each member
of Board of Directors/Board of Members;
Standards and conditions of
Chairperson and members of Board of Directors/Board of Members
The list of members of Board of
Directors/Board of Members; their working positions or tasks in the Board of
Directors/Board of Members; their managerial experience in securities
companies and fund management companies (number of years in which they hold
the position of member of the Board of Directors/Board of Members/Executive
Board); their performance (achievements/violations) at such organizations;
Standards and condition are
specified
Information
about changes in senior personnel in the last 03 years in Board of
Directors/Board of Members/Executive Board, heads of Departments
Average rate of changes in the
last 03 years of a number of personnel changed in the year (reporting period)/number
of personnel at the beginning of year (at the beginning of reporting period)
Information about internal
operating rules of Board of Directors, Board of Members, Board of Controllers
and Executive Board, internal control unit, internal audit unit and other
rules necessary for the company’s operations
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Information about meetings of the
General Meeting of Shareholders, Board of Directors, Board of Members and
Board of Controllers (if any)
Convening time, number of
participants/total eligible participants; contents for which opinions are
required and voting percentage for approving each content are specified
Findings in the reporting period
of the internal control unit, internal audit unit and competent authority
about:
- Violations against
regulations of law and company’s charter; violations against
regulations of the Law on enterprises regarding obligations of managers or
failure to properly, adequately and promptly perform tasks and
responsibilities, or management, control or administration of company ultra
vires; violations against regulations on management and use of seals;
- Giving permission to the
company to perform operations or provide products which are not yet permitted
or instructed in laws;
- Failure to announce relevant
interests or permitting the performance of contracts or transactions
without approval of the Board of Directors, Board of Members, General Meeting
of Shareholders in case such approval is compulsory
Findings, handling methods,
results of remedial actions and company's recommendations are specified
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Internal audit
Structure of internal audit unit
List of employees of the internal
audit unit or department performing internal audit tasks; working positions or
tasks; years of working experience at regulatory authorities in the fields of
finance, banking, insurance, securities or state audit; performance
(achievements/violations) in such authorities
Internal audit procedures
Attached
Findings about internal audit
and/or employees of internal audit unit
Findings, handling methods,
results of remedial actions and company's recommendations are specified
3
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Structure of internal control
unit
List of employees of the internal
control unit; working positions or tasks; years of working experience at fund
management companies, securities companies, audit/ accounting/ law
organizations, or securities authorities; their performance (achievements/violations)
in such organizations
Internal control procedures
Attached
Transactions (quantity and value)
between the company’s employees and funds or clients managed by the company
Listed
Findings during the reporting period
related to internal control or employees of internal control unit
Findings, handling methods,
results of remedial actions and company's recommendations are specified
...
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Structure of
shareholders/capital-contributing members
Information about structure of
shareholders/capital-contributing members
List of
shareholders/capital-contributing members; ownership percentage; business
lines of shareholders/capital-contributing members that are organizations,
specialized experience of shareholders/capital-contributing members that are
individuals
Findings in the reporting period
of the internal control unit, internal audit unit and competent authority
about:
- Violations against regulations
on cross-ownership relationship, contributed capital sources, ownership
limits, or conduct of transactions without approval as prescribed in the
charter, or regulations of laws
- Violations against regulations
on management of shareholder registers; rights, obligations and
responsibilities towards shareholders/capital-contributing members;
organization of meetings of the General Meeting of Shareholders (procedures
for convening the meeting, meeting minutes, resolutions, etc.)
Findings, handling methods,
results of remedial actions and company's recommendations are specified
5
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List of disputes; overlapping of
functions and tasks in making decisions between Board of Directors/Board of
Members, Executive Board and other departments
Findings, handling methods, results
of remedial actions and company's recommendations are specified
6
Executive Board and
performance of management and administration tasks
Structure of Executive Board;
Description of specific tasks and
experience in management, administration and securities operations of each
member
List of members of Executive
Board, their functions/tasks, securities practicing certificates, experience
in securities (number of years of working experience in securities operations
such as brokerage, analysis and consulting, investment, asset management),
their performance (achievements/violations)
...
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Description of tasks and
personnel of each department
Departments, list of employees
and their securities practicing certificate (if available) and working
positions are specified
Findings in the reporting period
of the internal control unit, internal audit unit and competent authority
about:
- Failure of the Executive Board,
fund's executives, heads of departments, or company’s employees
to fulfill their responsibilities or to comply with regulations
of the Law on enterprises and the Law on securities (including regulations of
the Law on enterprises regarding obligations of managers), operational
procedures, rules and regulations laid down in the company’s charter
- Violations against state
regulations on accounting, taxation and other financial obligations; failure
to ensure lawful rights and interests of employees as prescribed in the Labor
Code; failure to comply with regulations on social insurance, health
insurance and other insurance; other violations against regulations of laws
Findings, handling methods,
results of remedial actions and company's recommendations are specified
7
Operational and business
activities
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Number and types of funds, investment
objectives; number of investment management contracts, number and types of
trustors (value of mobilized capital/NAV of each organization or individual).
Long-term investment
Investment items in subsidiary
companies, joint-venture companies, associate companies, and other long-term
financial investments are listed and sorted by business lines and total
investment value
Findings in the reporting period
of the internal control unit, internal audit unit and competent authority
about:
- Violations against regulations
of law on company’s financial management such as borrowing of money for
making financial investments; lending or allocating company’s capital to
related persons and other entities in any forms; improper investment in real
estate
- Company’s employees committing
or denoting signs of violations against regulations of the Law on securities
regarding prevention of conflicts of interest
- Violations against regulations
on information disclosure
- Violations against regulations
of law on investment ratio; types of investment assets; making investments
beyond authority, etc. and other regulations on establishment and management
of closed-end funds, private funds, securities investment companies, open-end
funds, real estate funds, ETFs, etc.
- Violations against regulations
on management of investment portfolios; depositing of trustors’ assets, etc.
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Findings, handling methods, results
of remedial actions and company's recommendations are specified
Average revenue growth rate in
the last 03 years
Percentage (%)
II. Information about risk
management system
No.
List
Results
1
Board of Directors, Board of
Members or Owner
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
Members in charge of risk
management and members of the risk management subcommittee (if any):
Name, position and details about
risk management certificates (see Note 3), years of working experience
in risk management, including working period, working positions,
responsibilities and performance (achievements/violations, if any) are
specified
Times of appraisal and approval
for risk management strategies, policies and tasks during the period
First time: ……………………[date]
Second time: ……………………[date]
…
2
Executive Board
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Name, position and details about
risk management certificate (see Note 3), years of working experience
in risk management (working period, working positions) responsibilities and
performance (achievements/violations)
Times of review and assessment of
risk management strategies, policies and tasks during the period
First time: ……………………[date]
Second time: ……………………[date]
….
3
Risk management strategies and
policies
Risk management strategies and
policies adopted by the company
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The company’s risk appetite and
risk limits
Attached
Risk management procedures
applied in the company
Attached
Times of review, updating and
approval for risk management strategies, policies and procedures during the
period
First time: ……………………[date]
Second time: ……………………[date]
….
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Information technology
infrastructure serving risk management
Information technology systems
and software programs serving risk management
Brief description (name of
software, manufacturer, managed/controlled risks, etc.)
5
Risk management personnel
Organizational structure and
personnel of risk management department (if any)
List, name, functions and tasks
related to risk management, risk management certificates (if any), years of working
experience in risk management, including working period, working positions,
responsibilities, and performance (achievements/violations, if any) are
provided
...
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
List, name, main functions/tasks
and part-time functions/tasks related to risk management, risk management
certificates (if any), years of working experience in risk management,
including working period, working positions, responsibilities, and
performance (achievements/violations, if any) are provided
Ratios of part-time or full-time
risk management officers to total operational officers of each department and
of the whole company
Ratios are specified
Findings during the reporting period
of the internal control unit, internal audit unit and competent authority
related to organization and performance of risk management tasks which are
not good or not conformable with the company’s actual investment and business
operations
Findings, handling methods,
results of remedial actions and company's recommendations are specified
6
Dissemination, training
and reporting on risk management
Information about dissemination
of and training in risk management in the company during the reporting period
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Reporting on risk management to
SSC
Reporting times/contents are
specified
7
Management of risks involving
trustors’ investment portfolios
Cooperation with trustors in
developing strategies, policies and procedures for management of risks
involving their investment portfolios
Risk management strategies,
policies and procedures for funds/portfolios are attached; times of meeting, and
exchanging information with trustors are specified
Times of review and updating of
risk management strategies, policies and procedures
First time: ……………………[date]
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….
Daily performance of risk
management tasks
Main risk management activities
performed during the reporting period for each investment portfolio are
specified
8
Compliance supervision
Times of inspection, review and assessment
of risk management results by the internal control unit and internal audit
unit
First time: ……………………[date]
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
….
Findings of the internal control
unit, internal audit unit and risk management department about:
- Violations in management of
risks involving the company’s business operations (violations against risk
management policies, risk appetite, risk limit, risk management procedures,
etc.)
- Violations in management of
risks involving funds and investment portfolios of trustors (violations
against risk management policies, risk appetite, risk limit, risk management
procedures, etc.)
Number of violations; violations
are listed
III. Quantitative reporting
indicators
1. Total overdue receivables,
including renewed overdue receivables (at the beginning and ending of the
reporting period).
2. Total short-term investment
value after risk adjustment (at the beginning and ending of the reporting
period, see Note 4).
3. Annual profits distributed, from
the year of establishment to the current year.
...
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5. Money-weighted return (MWR and
mwr, see Note 6), net asset value (NAV) of each closed-end fund, private
fund or securities investment company under active management.
6. Standard deviation or tracking
error (TE) and NAVs of funds under passive management.
IV. Attached documents
1. Risk management strategies and
policies, risk appetite, and risk management procedures of the company.
2. Internal rules/regulations and
brief description as specified in Sections I, II.
3. Other relevant documents (if
any).
We hereby make guarantees about and
shall be legally responsible for the accuracy and adequacy of this report.
Notes:
1. Only documents which have
changes compared to those included in the report of the previous period are
sent and documents which are kept unchanged must be specified.
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ĐT: (028) 3930 3279 DĐ: 0906 22 99 66
3. Some risk management
certificates include: FRM - Financial Risk Manager - issued by GARP, FRM -
Professional Risk Manager - issued by PRMIA, or other appropriate certificates
as required by the company.
4. Short-term investment value
after risk adjustment 
, where: MVi is the
market value (fair value) of the short-term investment asset i; Rski is
total value of potential risks in the investment item i, including the market
risk value, settlement risk value and concentration risk of that investment
item. Risk values shall be determined according to financial safety
indicators imposed on fund management company. Note that for investment assets
which are bonds, fixed-term certificates of deposit, Repos/Reverse Repos, and
receivables, the values of both market risk and settlement risk shall be
calculated.
5. TWR (Time-Weighted Return) is
calculated adopting the following formula:
TWRkỳ báo cáo = (1
+ R1) x (1 + R2) x … x (1 + Rn)
- 1
Where: Ri is the rate
of return at times of determining the fund's NAV, receiving/making payments for
trustors. The rate of return is calculated using the log return method
with the following formula:
twr = ln(1 + TWR) = loge(
1 + TWR)
Then: twrkỳ báo cáo =
twr1 + twr2 + ··· + twrn
6. MWR is Money-Weighted Return.
MWR is calculated using the modified Dietz method, then the rate of return
shall be calculated using the log return method with the following formula:
mwr
= ln(1 + MWR) = loge(1 + MWR)
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(GENERAL)
DIRECTOR OF FUND MANAGEMENT COMPANY
(Signature, full name and seal)
APPENDIX IX
BASIC
CONTENTS OF AN AUTHORIZATION CONTRACT
(Enclosed with the Circular No. 99/2020/TT-BTC dated November 16, 2020 of
the Minister of Finance)
1. Details about rights and obligations
of the contracting parties; activities which may be authorized by the
authorized party to a third party;
2. Risks that may arise from the
authorization and are identified by the due diligence of the authorized party
and risks management plans;
3. Inspection and supervision
procedures that ensure that the fund’s representative board or the fund
management company is able to control and intervene in activities performed by
the authorized party in order to ensure that all authorized activities are
performed in conformity with regulations of law and provisions of the
authorization contract. Contents of the fund management
company’s inspection and supervision shall include activities performed by a
third party with authorization of the authorized party. The inspection
and supervision mechanism must ensure that:
a) The fund’s representative board
may, at any times, access the database and information about authorized
activities, including name and address of the authorized party, value of the
authorization contract, validity period of the authorization contract, reports
on results of authorized activities;
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4. Provisions on dispute settlement
and termination of authorization contract;
5. Provisions on confidentiality of
information which ensure that:
a) The fund management company
shall only provide an adequate amount of information for performing authorized
activities;
b) Information about investors
shall be used for performing authorized activities only;
c) The authorized party shall
retain authorization-related information and employ appropriate technical
solutions, personnel and organizational structure for protecting
confidentiality of such information.
6. Requirements for facilities,
information technology solutions and backup systems for ensuring that
authorized activities are thoroughly performed. To be specific:
a) The authorized party must meet
requirements regarding material and technical facilities, disaster recovery system
and hot standby system;
b) The authorized party shall
frequently examine and test its backup system and notify the fund management
company of any changes in its technical systems;
c) The authorized party shall
retain data on the fund and its investors which can be moved out of its system,
removed or restored.
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APPENDIX X
SAMPLE
OF REPORT ON INVESTMENT IN SUBSIDIARIES, JOINT-VENTURE COMPANIES AND ASSOCIATE
COMPANIES
(Enclosed with the Circular No. 99/2020/TT-BTC dated November 16, 2020 of
the Minister of Finance)
NAME
OF FUND MANAGEMENT COMPANY
--------------
SOCIALIST REPUBLIC OF VIET NAM
Independence-Freedom-Happiness
-----------------
No.:
…..
…..[date
& place]
REPORT
On
investment in subsidiaries, joint-venture companies and associate companies
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No.
Name
of subsidiary, joint-venture company or associate company
Number
of enterprise registration certificate or establishment decision
Main
business lines
Ownership
information before change
Ownership
information after change
Notes
Value
of investment (VND)
Ownership
percentage of fund management company (%)
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Ownership
percentage of fund management company (%)
1
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2
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(GENERAL)
DIRECTOR OF FUND MANAGEMENT COMPANY
(Signature, full name and seal)
APPENDIX XI
SAMPLE
OF REPORT ON COMPLETION OF TRANSFER OF SHARES/STAKES
(Enclosed with the Circular No. 99/2020/TT-BTC dated November 16, 2020 of
the Minister of Finance)
NAME
OF FUND MANAGEMENT COMPANY
--------------
SOCIALIST REPUBLIC OF VIET NAM
Independence-Freedom-Happiness
-----------------
No.:
…..
…..[date
& place]
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On
transfer of shares/stakes
To:
State Securities Commission of Vietnam
I. List of
shareholders/capital-contributing members before transfer
No.
Individual’s
full name/ organization’s name
Information
about shareholder/capital-contributing member
Number
of shares/ owned stakes
Value
of shares/ stakes (VND)
Ratio
of shares/stakes to charter capital (%)
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Number
of ID card or citizen identity card or Passport (of individual contributing
capital or representative of stakes)
1
Company…
Representative of the company’s
stakes:
Mr./Mrs.:
Position:
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2
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II. Information about transfer
transaction
No.
Transferor
Transfer price (VND)
Transferee
Date of completion of transfer
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Number of enterprise registration certificate (of
organization)/ number of ID Card or citizen identity card or Passport (of
individual)
Number of transferred shares/stakes
Ratio of transferred shares/stakes to charter capital
(%)
Name of shareholder/capital-contributing member
Number of enterprise registration certificate (of
organization)/ number of ID Card or citizen identity card or Passport (of
individual)
1
…
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III. List of
shareholders/capital-contributing members after transfer
No.
Individual’s
full name/ organization’s name
Information
about shareholder/capital-contributing member
Number
of shares/ value of contributed capital
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Ratio
of shares/stakes to charter capital (%)
Number
of enterprise registration certificate (of organization)
Number
of ID card or citizen identity card or Passport (of individual contributing capital
or representative of stakes)
1
Company…
Representative of the company’s
stakes:
Mr./Mrs.:
Position:
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2
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…
Total
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We undertake to assume the full
responsibility for the accuracy and truthfulness of all contents of this
report./.
LEGAL
REPRESENTATIVE OF FUND MANAGEMENT COMPANY
(signature, full name and seal)
APPENDIX XII
SAMPLE
OF CHARTER OF A FUND MANAGEMENT COMPANY
(Enclosed with the Circular No. 99/2020/TT-BTC dated November 16, 2020 of
the Minister of Finance)
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CHARTER
(Company’s
name)
…..[place
& date]
TABLE OF CONTENTS
LEGAL GROUNDS
- The Law on Securities dated
November 26, 2019;
- The Law on Enterprises dated June
17, 2020;
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- Other relevant legislative
documents,
Chapter
I
GENERAL
PROVISIONS
Article 1. Definitions
1. For the purposes of this
Charter, these terms are construed as follows:
a) “company” means
<company’s name>;
b) “charter capital” means
total value of assets that the company’s members or owner have or has
contributed or promised to contribute when establishing a limited liability
company, or total value, calculated by face value, of shares that have been
offered or subscribed when establishing a joint-stock company;
c) “Law on Securities” means
the Law on Securities ratified by the National Assembly of the Socialist
Republic of Vietnam on November 26, 2019;
d) “Law on Enterprises” means
the Law on Enterprises ratified by the National Assembly of the Socialist
Republic of Vietnam on June 17, 2020;
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e) “Vietnam” means the
Socialist Republic of Vietnam;
g) “SSC” stands for the
State Securities Commission of Vietnam;
2. In this Charter, a reference to any provisions or documents shall comprise amendments
to or replacements of such provisions or documents.
3. Headings herein facilitate
comprehension and do not alter meanings and contents of this Charter. The terms
defined in the Law on Securities or the Law on Enterprises shall have the same
meaning in this Charter unless they are construed for different subjects or in different
contexts.
Article 2. Company’s name
1. Full name in Vietnamese:
2. Full name in English:
3. Trading name:
4. Abbreviated name:
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Article 3. Form of ownership and
scope of responsibility
1. The company is organized in the
form of a limited liability company or joint-stock company that is incorporated
and operates in accordance with the Law on Securities, Law on Enterprises and
relevant law provisions as well as specified terms and conditions in this
Charter.
2. The company’s owner, members or
shareholders shall assume responsibility for the company’s debts and other
liabilities which is equal to their capital amounts contributed to the company.
3. The company has the status of a
juridical person, has its own seal and account, and is financially independent.
4. The company is established on
the basis of voluntary capital contribution by shareholders or
capital-contributing members or company’s owner.
Article 4. Headquarters address,
branches and representative offices in Vietnam (specify house number, street,
ward, district, city or province)
1. Company’s headquarters:
- Address:
- Telephone:
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- Website:
2. Company’s branch:
- Address:
- Telephone:
- Fax:
3. Company’s representative office:
- Address:
- Telephone:
- Fax:
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Article 5. Securities trading
operations
The company is allowed to conduct
business operations specified in its securities trading license issued by SSC,
including:
- Management of securities investment
funds;
- Management of securities
investment portfolios;
- Securities investment consulting.
Article 6. Operating period
The company’s operating period is
…. years(s) (or an indefinite period) commencing from the day on which it is
issued with the securities trading license and may be extended as prescribed by
law upon its termination, unless it is terminated according to a decision of GMS
or Board of Members or company’s owner or a decision issued by a competent
authority.
Article 7. Legal representative
(The Charter shall specify the
quantity of legal representatives, position, rights and obligations of each of
them).
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CHARTER
CAPITAL - SHARES - STOCKS - SHAREHOLDERS - CAPITAL CONTRIBUTING MEMBERS -
COMPANY’S OWNER
Article 8. Charter capital and change
in charter capital
1. The company’s charter capital is
VND…….. (….. billion Vietnamese dong) contributed by shareholders or
capital-contributing members or company’s owner.
2. The company’s charter capital
may be changed with approval of GMS or Board of Members or company’s owner and
in conformity with regulations of law in force.
3. The company may increase its
charter capital in the following forms:
4. The company may decrease its
charter capital in the following forms:
Section I. Joint-stock company
Article 9. Types of shares
1. A joint-stock company shall have
ordinary shares, which are held by ordinary shareholders.
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a) Super-voting shares;
b) Participating preference shares;
c) Redeemable preference shares;
d) Other types of preference shares
prescribed by the company's charter and the Law on Securities.
3. The persons that may purchase
participating preference shares, redeemable preference shares and other
preference shares shall be specified in the company's charter or decided by the
GMS.
4. Every share of the same type
will confer upon the holder equal rights, obligations and interests.
5. Ordinary shares cannot be
converted into preference shares but preference shares may be converted into
ordinary shares under a resolution of the GMS.
Article 10. Rights of ordinary
shareholders
1. Ordinary shareholders have the
right to:
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b) Receive dividends at the rate
decided by the GMS;
c) Be given priority to buy
additional shares in proportion to their holding of ordinary shares in the
company;
d) Transfer their shares to other
persons, except for the cases specified in Clause 3 Article 17 of this Charter
and relevant laws;
dd) Access names and addresses on the
list of voting shareholders, and request rectification of information if their
information is incorrect;
e) Access, extract or make copies
of the company's charter, minutes and resolutions of the GMS;
g) Receive part of the remaining
assets in proportion to their holdings in the company when the company is
dissolved or goes bankrupt;
h) Perform other rights as
prescribed in the company’s Charter.
2. The shareholder or group of
shareholders that holds at least 5% of total ordinary shares or a smaller
ratio specified in the company's charter shall have the rights to:
a) Access and extract the minutes
of meetings, resolutions and decisions of the Board of Directors, mid-year and
annual financial statements, reports of the Board of Controllers, contracts and
transactions subject to approval by the Board of Directors and other documents,
except those related to the company’s business secrets;
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c) Request the Board of Controllers
to investigate into specific matters relevant to the company’s administration
where necessary. The request shall be made in writing and contain full name,
mailing address, nationality, number of ID card or citizen identity card or
Passport or another valid personal identification paper of the shareholder that
is an individual; name, number of enterprise registration certificate or
establishment decision or other document of equivalent validity, and headquarters
address of the shareholder that is an organization; quantity of shares and time
of registration of shares of each shareholder, total quantity of shares of the
group of shareholders and their holdings in the company; the matter that needs
investigating and the purposes of investigation;
d) Perform other rights as
prescribed in the company’s Charter.
3. The shareholder or group of
shareholders specified in Clause 2 of this Article is entitled to demand a GMS
be convened in the following cases:
a) The Board of Directors seriously
violates the shareholders’ rights, obligations of executives or issues
decisions ultra vires;
b) Other cases prescribed by the
company's charter.
A request for a GMS be convened
shall be made in writing and contain full name, mailing address, nationality,
number of ID card or citizen identity card or Passport or another valid
personal identification paper of the shareholder that is an individual; name,
number of enterprise registration certificate or establishment decision or
other document of equivalent validity, and headquarters address of the
shareholder that is an organization; quantity of shares and time of
registration of shares of each shareholder, total quantity of shares of the
group of shareholders and their holdings in the company, the grounds and
reasons for convening the GMS. The request shall be enclosed with documentary
evidences of the violations committed by the Board of Directors, severity of
the violation or the decision issued ultra vires.
4. Unless otherwise prescribed by
the company's charter, the shareholder or group of shareholders that holds at
least 10% of the ordinary shares or a smaller ratio specified in the
company's charter is entitled to nominate candidates for the Board of
Directors and the Board of Controllers as follows:
a) The ordinary shareholders shall
hold a meeting to nominate candidates for the Board of Directors and the Board
of Controllers and inform the participating shareholders before the opening of
the GMS;
b) The number of candidates depends
on the quantity of members of the Board of Directors and the Board of
Controllers and shall be decided by the GMS. In case the number of candidates
nominated is smaller than the permissible number, the remaining candidates
shall be nominated by the Board of Directors, Board of Controllers and other
shareholders.
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Article 11. Obligations of
shareholders
1. Fully and punctually pay for
their subscribed shares.
2. Do not withdraw contributed
capital in the form of ordinary shares in any shape or form, unless the shares
are purchased by the company or other persons. The shareholder that withdraws
all or part of the share capital against regulations of this Clause and persons
with related interests in the company shall have a liability for the company’s
debts and other liabilities which is equal to the value of the shares withdrawn
and the damage caused by this action.
3. Comply with the company's
charter, rules and regulations.
4. Comply with resolutions and
decisions of the GMS and Board of Directors.
5. Protect the confidentiality of
information provided by the company in accordance with the company's charter
and the law; only use the provided information to perform and protect their
lawful rights and interests; do not spread or share information provided by the
company to any other organization or individual.
6. Discharge other obligations as
prescribed by the company's charter.
Article 12. Super-voting shares
and rights of their holders
1. Super-voting shares are ordinary
shares that have more votes than other ordinary shares. The number of votes of
a super-voting share shall be specified in the company's charter. Only
organizations authorized by the Government and founding shareholders may hold
super-voting shares. The super-voting powers of founding shareholders shall be
effective for 03 years from the day on which the company is issued with the securities
trading license. The right to vote and voting preference period of super-voting
shares held by organizations authorized by the Government shall be specified in
the company's Charter. After this period expires, super-voting shares shall
become ordinary shares.
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a) Vote on the matters under the
jurisdiction of the GMS with the number of votes specified in Clause 1 of this
Article;
b) Perform other rights of ordinary
shareholders, except the cases specified in Clause 3 of this Article.
3. Holders of super-voting shares
are not allowed to transfer their shares to others, unless the transfer is
demanded by an effective court judgment or decision or made in accordance with
inheritance laws.
Article 13. Participating
preference shares and rights of their holders
1. Participating preference shares
are shares that provide their holders with higher dividends than those of
ordinary shares or with stable annual dividends. Annual dividends include fixed
dividends and extra dividends. Fixed dividends do not depend on the company’s
business performance. Fixed dividends and methods for determination of extra
dividends shall be written on the certificates of participating preference
shares.
2. Holders of participating
preference shares have the rights to:
a) Receive the dividends as
prescribed in Clause 1 of this Article;
b) Receive part of the company’s
remaining assets in proportion to their holdings in case the company is
dissolved or goes bankrupt after the company’s debts and redeemable preference
shares are fully paid;
c) Perform other rights of ordinary
shareholders, except the cases specified in Clause 3 of this Article;
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Article 14. Redeemable
preference shares and rights of their holders
1. Redeemable preference shares are
shares that will be redeemed by the company at the request of their holders or
under the conditions written in the certificates of redeemable preference
shares and the company's Charter.
2. Holders of redeemable preference
shares have all of the rights of ordinary shareholders, except the cases
specified in Clause 3 of this Article.
3. Holders of redeemable preference
shares do not have the right to vote, participate in the GMS, nominate
candidates for the Board of Directors and the Board of Controllers, except the
cases specified in Clause 5 Article 9 and Clause 6 Article 71 of this Charter.
Article 15. Share certificates
1. A share certificate is a
certificate issued by a joint stock company, a book entry or electronic data
that certifies the ownership of one or a number of shares of the company. A
share certificate shall contain the following information:
a) The company’s name, enterprise
ID number and headquarter address;
b) Quantity and type of shares;
c) The face value of each share and
total face value of the number of shares written therein;
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dd) Signature of the company’s
legal representative;
e) Registration number on the
company’s shareholder register and issuance date of the share certificate;
g) Other information specified in
Articles 12, 13 and 14 of this Charter for certificates of preference shares.
2. Any errors in a share
certificate do not affect rights and interests of its holder. The company’s
legal representative shall be responsible for the damage caused by such errors.
3. In case a share certificate is
lost or damaged or otherwise destroyed, it will be reissued at the request of
its holder. The request shall contain:
a) Information about the lost or
damaged or otherwise destroyed certificate;
b) The commitment to take
responsibility for disputes caused by its reissuance.
4. Registration of the company’s
share certificates that are listed on securities market shall comply with law
regulations on securities and securities market.
Article 16. Shareholder register
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2. A shareholder register shall
contain the following information:
a) The company’s name and
headquarters address;
b) Total number of authorized
shares, types of authorized shares and quantity of each type;
c) Total number of sold shares of
each type and value of share capital contributed;
d) Full name, contact address,
nationality, number of ID card or citizen identity card or Passport or another
valid personal identification paper of the shareholder that is an individual;
name, number of enterprise registration certificate or establishment decision
or other document of equivalent validity, and headquarters address of the
shareholder that is an organization;
dd) Quantity of each type of shares
of each shareholder, date of share registration.
3. The shareholder register shall
be retained at the company’s headquarters or another organization that is
licensed to retain shareholder registers. Shareholders are entitled to inspect,
access, extract or make copies of names and addresses of the company’s
shareholders from the shareholder register.
4. In case a shareholder’s mailing
address is changed, a notification shall be promptly sent to the company in
order to update the shareholder register. The company shall assume no
responsibility in case a shareholder cannot be contacted due to the failure to
notify the change of that shareholder’s mailing address.
5. The company shall update changes
of shareholders in the shareholder register as requested by relevant
shareholders in accordance with company's Charter.
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1. A company’s shareholder is an
organization or individual that holds at least a share issued by the company.
2. A company’s founding shareholder
is a shareholder that participates in the establishment and ratification of,
and has his/her signature in the first Charter of the company.
3. Rights to transfer shares of
founding shareholders:
Founding shareholders shall not
transfer their shares within 3 years from the issuance date of the securities
trading certificate, unless the transfer is made between founding shareholders.
In case of compulsory liquidation of assets under a decision issued by a
competent court or regulatory authority, the founding shareholder may transfer
his/her shares to another shareholder that will then become the company’s
founding shareholder.
4. Structure of capital contribution
by founding shareholders:
No.
Name,
contact address, number of enterprise registration certificate of shareholder
that is an organization/ Name, contact address, number of ID Card or citizen
identity card or Passport of shareholder that is an individual
Contributed
capital amounts
Contribution
percentage
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…
Article 18. Offering and
transfer of shares
1. The Board of Directors shall
decide the time, method and prices for selling shares. The selling prices must
not be lower than their market values or latest book values, except:
a) Shares that are sold for the
first time to persons other than founding shareholders;
b) Shares that are sold to all
shareholders according to their holdings in the company;
c) Shares that are sold to brokers
or guarantors. In this case, the discount or discount rate must be approved by
the GMS, unless otherwise prescribed b the company's charter;
d) Other cases in which the
discount rates are specified in the company's charter or resolution of the GMS.
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a) The company shall send a written
notification by express mail to the shareholders’ mailing addresses written in
the shareholder register at least 15 days before the deadline for subscribing
for shares;
d) The notification shall contain full
name, contact address, nationality, number of ID card or citizen identity card
or Passport or another valid personal identification paper of the shareholder
that is an individual; name, number of enterprise registration certificate or
establishment decision or other document of equivalent validity, and
headquarters address of the shareholder that is an organization; the
shareholder’s current shares and holding; total quantity of shares offered and
quantity of shares to be purchased by shareholders; the offering price;
deadline for subscribing; full name and signature of the company’s legal
representative. The deadline for subscribing specified in the notification
must be long enough for shareholders to subscribe for shares. The notification
shall be enclosed with the share subscription form issued by the company. If
the share subscription form is not sent to the company by the deadline, it will
be considered that the shareholder has renounced the right to buy shares;
c) Shareholders may transfer their
right to buy shares to others;
d) If the offered shares are
undersubscribed, the Board of Directors is entitled to sell the remaining
number of authorized shares to the company’s shareholders or other persons
under conditions that are not more favorable than those offered to the
company’s shareholders, unless otherwise accepted by the GMS or prescribed by the
Law on Securities.
3. Shares are considered to be sold
when they are fully paid for and information about the buyer specified in
Clause 2 Article 16 of this Charter is fully recorded in the shareholder
register. From that time, the buyer is a shareholder of the company.
4. After the shares are fully paid
for, the company shall issue and deliver the share certificate to the buyer. In
case a share certificate is not delivered, information about the shareholder
specified in Clause 2 Article 16 of this Charter shall be recorded in the
shareholder register to certify that shareholder’s ownership of shares.
5. Shares may be transferred
freely, except the cases specified in Clause 3 Article 17 of this Charter and
other cases of restriction specified in the company's Charter. The restrictions
on transfer of shares specified in the company's charter are only applicable if
they are written on the certificates of shares subject to restriction. The
transfer shall be made into a contract or carried out as a transaction on the
securities market. In case of transfer under a contract, the transfer-related
documents shall bear the signatures of the transferor and the transferee or
their authorized representatives. In case the transfer of shares is carried out
as a transaction on the securities market, the transfer procedures prescribed
by the Law on Securities shall apply.
If only a part of shares in the
certificate of registered shares is transferred, the old certificate of shares
shall be replaced with a new one indicating the transferred shares and the
remaining shares.
6. Conditions, methods and
procedures for public offering of shares shall comply with regulations of the
Law on Securities.
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1. Purchase of shares at
shareholders’ request
a) The shareholders that have voted
against the resolution on reorganization of the company or change of
shareholders’ rights and obligations in the company's charter are entitled to
request the company to repurchase their shares. The request shall be made in
writing and specify the shareholder’s name and address, quantity of shares of
each type, offering prices, reasons for requesting the repurchase. The request
shall be sent to the company within 10 days from the day on which the abovementioned
resolution is ratified by the GMS.
b) The company shall repurchase
shares at the request of its shareholders as prescribed in Point a of this
Clause at market prices or at the prices calculated in accordance with the
rules in the company's charter within 90 days from the receipt of the request.
In case an agreement on the prices cannot be reached, the parties may hire a
valuation organization to determine the price. The company shall introduce at
least 03 valuation organizations for the shareholders to make the final
decision.
2. Repurchase of shares under the
company’s decision
The company is entitled to
repurchase up to 30% of total ordinary shares, all or part of participating
preference shares that have been sold. To be specific:
a) The Board of Directors is
entitled to decide the repurchase of up to 10% of total shares sold of each
type within 12 months. Other cases of share repurchase shall be decided by the
GMS;
b) The Board of Directors is
entitled to impose the repurchase price. The repurchase price for ordinary
shares must not exceed their market prices at the repurchase time, except the
cases specified in Point c of this Clause. Repurchase prices of other types of
shares must not be lower than their market prices, unless otherwise prescribed
by the company's charter or agreed upon by the company and relevant
shareholders;
c) The company may repurchase
shares of each shareholder in proportion to their holding in the company as
follows:
- The notification on the company’s
decision to repurchase shares shall be sent to all shareholders within 30 days
from its ratification date. The notification shall contain the company’s name
and headquarters address, total number and types of shares repurchased,
repurchase prices or pricing rules, procedures and deadline for paying,
procedures and deadline for shareholders to sell their shares to the company.
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Article 20. Conditions for
payment and settlement of repurchased shares
1. The company may only make the
payment for the shares repurchased in accordance with Article 19 of this Charter
if it is still able to fully pay its debts and other liabilities after the
shares are fully paid for.
2. The shares repurchased in
accordance with Article 19 of this Charter shall be considered unsold shares
according to regulations of the Law on Enterprises. The company shall register
a decrease in charter capital, which is equal to total face value of
repurchased shares, within 10 days from the date of completion of payment for
the repurchased shares, unless otherwise prescribed by the Law on Securities.
3. The share certificates of the
repurchased shares shall be destroyed right after the shares are fully paid
for. The Chairperson of the Board of Directors and the Director or General
Director shall be jointly responsible for the damage caused by the failure to
or delay in destroying the share certificates.
4. After all of the repurchased
shares are fully paid for, if the total assets in the company’s accounting
books is reduced by more than 10%, the company shall send a notification to all
of its creditors within 15 days from the payment date.
Article 21. Paying dividends
1. Dividends of preference shares
shall be paid under the conditions applied thereto.
2. Dividends of ordinary shares
shall be determined according to the realized net profit and the amounts of the
company’s earnings retained for paying dividends. The joint stock company may
only pay dividends of ordinary shares when the following conditions are fully
satisfied: The company has fulfilled its tax liabilities and other liabilities
as prescribed by law; the company has fully contributed to its funds and made
up for its previous losses as prescribed by law and the company's charter; after
dividends are fully paid, the company is still able to fully pay its debts and
other liabilities when they are due.
3. Dividends can be paid in cash,
the company’s shares or other assets specified in the company's charter. If
dividends are paid in cash, it shall be paid in VND and using the methods of
payment prescribed by law.
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a) The company’s name and
headquarters address;
b) Full name, contact address,
nationality, number of ID card, citizen identity card or passport or other
valid personal identification papers if the shareholder is an individual;
c) Name, number of enterprise
registration certificate or establishment decision or another document of
equivalent validity, and headquarters address if the shareholder is an
organization;
d) Quantity of each type of shares;
dividend of each share and total dividends receivable by the shareholder;
dd) Time and method of dividend
payment;
e) Full name and signature of the
company’s legal representative and Chairperson of Board of Directors.
5. In case a shareholder transfers
their shares during the period from the date of compilation of the list of
shareholders to the dividend payment date, the transferor will receive the
dividends.
6. In case dividends are paid in
shares, the company is not required to follow the procedures for offering
shares prescribed in Article 18 of this Charter. The company shall follow
procedures for registration of an increase in charter capital, which is equal
to total face value of shares paid as dividends, within 10 days from the
completion date of dividend payment.
Article 22. Inheritance of
shares
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Article 23. Bond offering
The company’s offering of bonds
shall comply with regulations of the Law on Securities.
Article 24. Return of payments
for repurchased shares or dividends
In case repurchased shares are paid
for against the regulations of Clause 1 Article 20 of this Charter or dividends
are paid against regulations of Article 21 of this Charter, shareholders shall
return money or assets they received. Otherwise, such shareholders and all
members of the Board of Directors shall have a joint liability for the
company’s debts and other liabilities which is equal to the value of unrecovered
money or assets.
Section
II. Multi-member limited liability company
Article 25. Company’s members
1. The company is established by
the following members:
a) Full name of
capital-contributing member that is an individual:
- Contact address: Nationality:
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- The member’s capital contributed
and holding:
b) Name of capital-contributing
member that is an organization:
- Headquarters address: Nationality:
- Number of enterprise registration
certificate or establishment decision or another document of equivalent
validity:
- Full name, contact address,
nationality, number of ID card or citizen identity card or Passport or other
valid personal identification paper of the authorized representative:
- The member’s capital contributed
and holding:
2. Capital-contributing members
upon establishment are those that make capital contribution, participate in
development and ratification of, and have their signatures in the first Charter
of the Company.
3. Rights to transfer stakes of
capital-contributing members upon establishment:
Capital-contributing members upon
establishment shall not transfer their stakes within 3 years from the issuance
date of the securities trading certificate, unless the transfer is made between
capital-contributing members upon establishment. In case of compulsory
liquidation of assets under a decision issued by a competent court or
regulatory authority, a capital-contributing member upon establishment may
transfer his/her shares to another member that will then become the company’s capital-contributing
member upon establishment.
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1. Company’s members shall
contribute capital fully and punctually as promised.
2. When capital is fully
contributed, the company shall issue a capital contribution certificate which
shall contain the following information:
a) The company’s name, enterprise
ID number and headquarter address;
b) The company’s charter capital;
c) Full name, contact address,
nationality, number of ID card or citizen identity card or Passport or another
valid personal identification paper of the member that is an individual; name,
number of enterprise registration certificate or establishment decision or
other document of equivalent validity, and headquarters address of the member
that is an organization;
d) The member’s capital contributed
and holding;
dd) Number and date of issue of the
capital contribution certificate;
e) Full name and signature of the
company’s legal representative.
3. In case a capital contribution
certificate is lost or damaged or otherwise destroyed, the member will be
reissued with another certificate by the company according to procedures laid
down in the company’s Charter.
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1. The company shall make a member
register after it is issued with the securities trading license. The member
register can be physical or electronic document and shall contain information
about the members’ holdings. A member register shall contain the following
information:
a) The company’s name, enterprise
ID number and headquarter address;
b) Full name, contact address,
nationality, number of ID card or citizen identity card or Passport or another
valid personal identification paper of the member that is an individual; name,
number of enterprise registration certificate or establishment decision or
other document of equivalent validity, and headquarters address of the member
that is an organization;
c) Stakes, holding, contribution
time, types of contributed assets, quantity and value of each type of
contributed assets of each member;
d) Signatures of members that are
individuals or of legal representatives of members that are organizations;
dd) Number and date of issue of the
capital contribution certificate of each member.
2. The company shall update changes
of members in the member register as requested by relevant members in
accordance with company's Charter.
3. The member register shall be
retained at the company’s headquarters.
Article 28. Rights and
obligations of members of Board of Members
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a) Participate in the meetings of
the Board of Members; discuss, propose, vote on the issues within the
jurisdiction of the Board of Members;
b) Have a number of votes that are
proportional to the member’s holding;
c) Receive profits in proportion to
the member’s holding after the company has fully paid taxes and fulfilled other
financial obligations prescribed by law;
d) Receive part of the company’s
remaining assets in proportion to the member’s holding when the company is
dissolved or goes bankrupt;
dd) Be given priority to contribute
more capital when the company increases its charter capital;
e) File lawsuits in their own name
or in the company’s name against the Chairperson of the Board of Members, Director
or General Director, legal representatives or other executives who fail to
fulfill their obligations or cause damage to the member’s interests or
company’s interests in accordance with regulations of law;
g) Transfer, give away or otherwise
dispose of a part or whole of the member’s own stake in accordance with
regulations of law and this Charter;
h) Perform other rights prescribed
in the company’s Charter.
2. In addition to the rights
specified in Clause 1 of this Article, a member or group of members that hold
at least 10% of the charter capital, or a smaller ratio prescribed by the
company's charter, or in the cases specified in Clause 3 of this Article
also has the rights to:
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b) Inspect, access logbooks and
monitor transactions, accounting books and annual financial statements;
c) Inspect, access, and make
photocopies of the member register, meeting minutes, resolutions and decisions
of the Board of Members and other documents of the company;
d) Request the Court to invalidate a
resolution or decision of the Board of Members within 90 days from the end of
its meeting if the meeting procedures or contents of that resolution or
decision are inconsistent with or contradict regulations of the Law on
Enterprises and the company's charter.
3. In case a member holds more than
90% of the company’s charter capital and the company's charter does not
provide for any other smaller ratio as prescribed in Clause 2 of this
Article, the group of remaining members obviously have the rights specified in
Clause 2 of this Article.
4. Obligations of members of the Board
of Members:
a) Fully and punctually contribute
capital as promised; assume liability for the company’s debts and liabilities
which is equal to the contributed capital, except for the cases specified in
law and the company’s Charter; do not withdraw capital from the company in any
shape or form, except for the cases specified in Articles 8, 29, 30 and 31 of
this Charter;
b) Comply with the company's
Charter;
c) Implement the resolutions and
decisions of the Board of Members;
d) Take personal responsibility
when performing the following actions in the name of the company:
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ii. Conduct business operations or
transactions that do not serve the company’s interests and cause damage to
others;
iii. Pay debts before they are due
while the company is facing financial risks.
dd) Perform other obligations as
prescribed by law.
Article 29. Repurchase of stakes
1. A member is entitled to request
the company to repurchase that member’s stake if that member has voted against
a resolution or decision of the Board of Members on the following issues:
a) Amendments to regulations of the
company's Charter on rights and obligations of members and the Board of
Members;
b) Reorganization of the company;
c) Other issues prescribed by the
company's Charter.
A request for stake repurchase must
be made in writing and sent to the company within 15 days from the day on which
the resolution or decision on the issues specified in Clause 1 of this Article
is ratified.
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3. If the company is not able to
repurchase a member’s stake as prescribed in Clause 2 of this Article, that
member is entitled to transfer his/her/its stake to another member or a
non-member.
Article 30. Transfer of stakes
1. Except the cases specified in
Clause 3 Article 29, Clause 5 and Clause 6 Article 31 of this Charter, a company’s
member is entitled to transfer part or all of their stake to another person as
follows:
a) Offer the stake to other members
in proportion to their holdings in the company under the same conditions;
b) Transfer the stake under the
same conditions as those applied to other members mentioned in Point a of this
Clause to a non-member in case the other members do not purchase or fully
purchase the stake within 30 days from the first day of offering.
2. The transferor still has the
rights and obligations to the company in proportion to the stake until
information about the buyer mentioned in Point b, c and dd Clause 1 Article 27
of this Charter is fully recorded in the member register.
3. In case only one member remains
after transfer or change of the members’ stakes, the company shall be converted
into a single-member limited liability company and apply for changes to enterprise
registration information as prescribed.
Article 31. Settlement of stakes
in some special cases
1. In case of the death of a member
that is an individual, his/her heir at law or designated by a will shall become
a member of the company. In case a member that is an individual is declared
missing by the Court, his/her rights and obligations shall be performed through
his/her asset manager as prescribed by civil laws.
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3. A member’s stake shall be
transferred or repurchased by the company in accordance with Article 29 and
Article 30 of this Charter in the following cases:
a) The member’s heir does not wish
to become a member of the company;
b) The beneficiary mentioned in
Clause 5 of this Article is not accepted as a member by the Board of Members;
c) The member that is an
organization is dissolved or goes bankrupt.
4. In case a member that is an
individual dies without an heir or the heir refuses the inheritance or is
disinherited, the stake shall be settled in accordance with civil laws.
5. In case a member gives a part or
all of his/her stake to another person, the beneficiary will become a member of
the company in the following cases:
a) If the beneficiary is a lawful
heir as prescribed by the Civil Code, he/she is obviously a member of the
company;
b) If the beneficiary is not a
lawful heir mentioned in Point a of this Clause, he/she will only become a
member of the company when he/she is accepted by the Board of Members.
6. In case a member uses his/her/its
stake to pay debt, the beneficiary may:
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b) offer and sell the stake in
accordance with Article 30 of this Charter.
7. In case a member that is an
individual is being kept in temporary detention, serving an imprisonment
sentence, serving an administrative penalty in a correctional institution or
rehabilitation center, he/she shall authorize another person to perform some or
all of his/her rights and obligations in the company.
8. A member that is an individual
is banned by the court to do certain jobs must not do those jobs at the
company; A member that is a juridical person is banned by the court from
certain business lines must suspend or stop business operation in those
business lines.
Section
III. Single-member limited liability company
Article 32. Rights of the
company's owner
1. The owner that is an
organization has the rights to:
a) Draw up and revise the company's
Charter;
b) Decide the company’s annual business
plan and development strategy;
c) Decide the company’s organizational
structure; designate and dismiss the company’s executives and controllers, and
employees of the internal audit unit;
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dd) Decide solutions for market
development, marketing and technology;
e) Approve contracts for borrowing,
lending, sale of assets and other contracts prescribed by the company's charter
whose value is at least 50% of total assets written in the latest financial
statements (excluding assets of trustors and funds or securities investment
companies managed by the company) or a smaller ratio or value specified in
the company's charter;
g) Ratify the company’s annual
financial statements;
h) Decide increase or decrease in
the company’s charter capital; transfer part or all of the company’s charter
capital to another organization or individual; decide issuance of bonds;
i) Decide establishment of
subsidiary companies and contribution of capital to other companies;
k) Organize the supervision and
assessment of the company’s performance;
l) Decide the use of profits after
the company’s tax liabilities and other financial obligations have been
fulfilled;
m) Decide the company’s
reorganization, dissolution or file bankruptcy;
n) Recover all assets of the
company after the dissolution or bankruptcy process is completed;
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2. The owner that is an individual
has the rights specified in Points a, h, l, m, n and o Clause 1 of this
Article; the right to decide investment, business operation and the company’s
administration, unless otherwise prescribed by the company's charter.
Article 33. Obligations of the
company’s owner
1. Contribute charter capital fully
and punctually.
2. Comply with the company's
charter.
3. Separate the company’s assets
and the owner’s assets. The owner that is an individual shall separate expenses
of himself/herself and his/her family and those of the company’s President,
Director or General Director.
4. Comply with regulations of law
on contracts and relevant laws while making purchases, sales, borrowing,
lending, leasing, entering into contracts and conducting other transactions
between the company and the company’s owner.
5. The company’s owner may only
withdraw capital by transfer part or all of the charter capital to another
organization or individual; in case the capital is fully or partially withdrawn
otherwise, the owner and relevant organizations and individuals shall be
jointly responsible for the company’s debts and other liabilities.
6. The owner must not withdraw
profit when the company is unable to fully pay its debts and liabilities when
they become due.
7. Discharge other obligations as
prescribed by the company's charter.
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1. In case the owner transfers or
gives part of the charter capital to one or some organizations and individuals
or the company admits a new member, the company shall be converted accordingly
and register the changes to enterprise registration information within 10 days
from the date of completion of the transfer or giveaway or admission of the new
member.
2. In case the owner that is an
individual is being kept in temporary detention, serving an imprisonment
sentence, serving an administrative penalty in a correctional institution or
rehabilitation center, he/she shall authorize another person to perform some or
all of the owner’s rights and obligations.
3. In case the owner that is an
individual dies, his/her heir at law or designated by a will shall be the owner
or member of the company. The company shall be converted accordingly and
register changes to enterprise registration information within 10 days from the
day on which the inheritance is settled. In case the owner that is an
individual dies without an heir or the heir refuses the inheritance or is
disinherited, the owner’s stake shall be settled in accordance with civil laws.
4. In case the owner is missing,
his/her stake shall be handled in accordance with civil laws.
5. In case the owner is
incapacitated, has limited legal capacity or has difficulty in controlling
his/her behaviors, his/her rights and obligations shall be performed through
his/her representative.
6. In case the owner is an
organization and is dissolved or goes bankrupt, the person that receives the
owner’s stake shall become the owner or member of the company. The company
shall be converted accordingly and register changes to enterprise registration
information within 10 days from the day on which the transfer is completed.
7. In case the owner is an
individual and is banned by the court to do certain jobs, or the owner is a
commercial juridical person and is banned by the court to do business in the
same business lines as those of the company, the owner must stop doing the job
or suspend business in these business lines under the court decision.
Chapter
III
ORGANIZATIONAL
STRUCTURE
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The company shall operate as a
joint-stock company or a multi-member limited liability company or a
single-member limited liability company.
Article 36. Company’s General
Director (Director)
The company’s General Director
(Director) is the person who manages the company’s daily business operations
and assumes responsibility before the Board of Directors or Board of Members or
Company’s President and legal responsibility for his/her performance.
Article 37. Standards and
requirements to be satisfied by General Director (Director)
The Company’s charter shall
specify standards and requirements for General Director (Director) in
accordance with regulations of the Law on Securities.
Article 38. Rights and
obligations of General Director (Director)
1. Organize the implementation of
resolutions and decisions of the Board of Members or Board of Directors or
company’s President.
2. Decide the company’s daily business
issues.
3. Organize implementation of the
company’s business plans and investment plans.
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5. Designate or dismiss the
company’s executives, except those within the jurisdiction of the Board of
Members, or Board of Directors or company’s President.
6. Enter into contracts on behalf
of the company, except those within jurisdiction of Chairperson of the Board of
Members or company’s President.
7. Submit annual financial
statements to the Board of Members or company’s President.
8. Propose plans for payment of dividends
or settlement of business losses.
9. Recruit employees.
10. Perform other rights and
obligations as prescribed by law, company’s charter, employment contracts and
resolutions and decisions of the Board of Members or Board of Directors or
company’s President.
Article 39. Salaries,
remunerations, bonuses and other benefits of company’s executives
Depending on each type of
business, the company’s charter shall specify salaries, remunerations, bonuses
and other benefits of the company’s executives in accordance with regulations
of law.
Article 40. Authorized
representatives
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2. Unless otherwise prescribed by
the company’s charter, the designation of an authorized representative shall
comply with the following regulations:
a) An organization that is a member
of a multiple-member limited liability company and holds at least 35% of this
company’s charter capital may designate up to 03 authorized representatives;
b) An organization that is a
shareholder of a joint stock company and holds at least 10% of ordinary shares
of this company may designate up to 03 authorized representatives.
3. In case the company’s owner, member
or shareholder that is an organization designates more than one authorized
representative, the holding of stakes or shares represented by each of them
shall be specified. Otherwise, the total holding shall be equally divided among
the authorized representatives.
4. The letter of authorization
shall be provided for the company, be effective on the date it is received by
the company and contain the following information:
a) Name, enterprise ID number and
headquarters address of the owner, member or shareholder;
b) Quantity of authorized
representatives and holding of stakes or shares presented by each of them;
c) Full name, contact address,
nationality, number of ID card or citizen identity card or Passport or other
valid personal identification paper of each authorized representative;
d) The beginning date and duration
of authorization of each authorized representative;
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5. An authorized representative
shall satisfy the following standards and requirements:
a) The authorized representative is
not an entity that is banned from establishment and management of enterprises
as prescribed in the Law on Enterprises;
b) A member or shareholder that is a
partially state-owned enterprise (over 50% of charter capital or voting shares
is held by the State, except wholly state-owned enterprises) shall not
designate a relative of the executive and the person having the power to
designate the executive as representative at another company;
c) Other standards and requirements
are specified in the company’s charter.
6. Authorized representatives shall
exercise and perform rights and obligations of the owner, members or
shareholders, in their names, at the Board of Members or GMS in accordance with
the Law on Enterprises and this Charter. All limits imposed by the owner,
members or shareholders to their authorized representatives’ performance at the
Board of Members or GMS shall not apply to any third party.
7. Authorized representatives have
the responsibility to attend all meetings of the Board of Members or GMS;
exercise and perform the authorized rights and obligations in an honest,
prudent and best manner to protect lawful interests of the owner, members or shareholders
that authorize them.
8. Authorized representatives shall
be responsible to the owner, members or shareholders for their failure to
fulfill their responsibilities specified in this Article. The authorizing
owner, members or shareholders shall be responsible to third parties for
performance of these authorized representatives.
Article 41. Internal audit unit
1. The fund management company that
is a public company or manages a public fund or a public securities investment
company is required to establish an internal audit unit. The internal audit
unit shall be affiliated to the Board of Directors or Board of Members or
company’s owner.
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a) inspect and evaluate the
organizational structure, company administration, management and cooperation of
each department and holder of each working position in order to prevent
conflicts of interest and protect benefits of clients;
b) examine and evaluate the
adequacy, effectiveness, efficiency and compliance with regulations of law and
the company’s charter; internal control system; internal policies and
procedures, including rules of professional ethics, business process, risk
management system and procedures, information technology system, accounting,
reporting system and procedures, information disclosure, procedures for
receiving and settling denunciations and complaints from clients, and other
internal regulations;
c) inspect the validity,
legitimacy, truthfulness, prudency and compliance with business process and
risk management procedures;
d) perform operational audit
according to the annual internal audit plan. The annual internal audit plan
must be approved by the Board of Directors or Board of Members or company’s
owner before it is implemented. The annual internal audit plan must comply with
the following rules:
- The internal audit must be
carried out annually and on ad hoc basis;
- The level of risks to operation,
procedures and departments must be assessed according to the company’s internal
regulations. The audit of operation, procedures and departments with high risks
shall be given priority and performed every year;
- The annual audit plan must be
adjusted upon the occurrence of change in the level of risks to operation,
procedures and departments;
dd) Operations of all departments
in the company must be audited every two years;
e) propose solutions for enhancing
operational efficiency and effectiveness of the company; monitor the
implementation of recommendations after the audit which have been approved by
the Board of Directors or the Board of Members or company’s owner.
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a) Independence: The internal audit
unit and its operations must be independent from other departments and
operations of the fund management company, and shall not bear the management of
its Executive Board. Employees of the internal audit unit are not allowed to
concurrently hold any other working positions in the fund management company;
b) Objectivity: internal auditors
must be objective, unbiased and unprejudiced, and not be influenced and
tampered when performing their tasks;
c) Truthfulness: The internal audit
tasks must be performed in an honest, discreet and responsible manner;
d) Cooperation: The internal audit
unit is entitled to access all information and documents of the company. Members
of the Executive Board and all employees of the fund management company shall
cooperate and provide adequate, timely, truthful and accurate information and
documents at the request of the internal audit unit. Other departments in the
company shall promptly notify the internal audit unit when detecting any
weaknesses, shortcomings, violations, risks or loss of assets of the company or
its clients;
Article 42. Internal control
unit
1. The fund management company must
establish an internal control system suitable for its organizational structure,
establish an internal control unit affiliated to the Executive Board, and issue
regulations on internal control, including internal mechanisms, policies,
procedures and rules.
2. The internal control unit shall:
a) Supervise the compliance by each
working position holder, each department and all operations of the company with
relevant laws, policies, business process and the company’s internal
regulations;
b) Supervise the fulfillment of
assigned/authorized tasks by all employees in the company. Principles of power
decentralization and authorization in the company must comply with the
following provisions:
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- An individual may not hold
multiple working positions that allow him/her to perform acts with conflicted
or overlapped purposes/interests. Personnel must be properly arranged to ensure
that an individual cannot independently make his/her own decision and perform
two or more operations in the business process without consulting other
departments/individuals;
c) Engage in the formulation and
supervision of implementation of the company's internal policies, procedures
and rules in order to prevent the conflict of interest; supervise the
compliance with the code of professional ethics; consolidate, retain and
supervise business operations of the company and personal transactions
conducted by the company’s employees;
d) Engage in the formulation and
implementation of procedures for management of risks to the company and each
trustor; punctually identify and evaluate risks, establish investment limits
and adopt measures for preventing and managing potential risks in investments
of the company and its trustors;
dd) Supervise to ensure that the
net asset values (NAV) of the trusted portfolios, securities investment funds
and securities investment companies are assessed in conformity with regulations
of law and internal regulations; the company’s assets and sources are managed
safely and effectively; assets of trustors are managed separately and
independently; financial statements, operational reports, reports on financial
safety indicators and other reports of the company are truthfully, accurately
and punctually prepared, and adequately updated in accordance with regulations
of law;
e) Supervise and truthfully,
punctually and accurately manage the financial information system; develop a
backup information system to promptly deal with any arising issues such as
disaster, fire or explosion, etc. and maintain the uninterrupted operation of
the company;
g) Propose plans for settling
disputes, conflict of interests or claims from clients or partners, and
contingency plans for remedying consequences when problems occur;
h) Perform internal audit functions
in case the fund management company is not required to establish the internal
audit unit.
Section I. Multi-member limited liability company
Article 43. Organizational
structure
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Article 44. Board of
Members □
1. The Board of Members is the
supreme governing body of the company, consists of all members that are
individuals and authorized representatives of the company’s members that are
organizations. (The company's charter shall specify the frequency of meetings
of the Board of Members but at least one meeting shall be held per year).
2. The Board of Members has the
following rights and obligations:
a) Decide the company’s annual
business plan and development strategy;
b) Decide increase or decrease in
charter capital, time and method for raising more capital; issuance of bonds;
c) Decide investments in the
company’s development projects; solutions for market development, marketing and
technology transfer;
d) Approve contracts for borrowing,
lending, sale of assets and other contracts prescribed by the company's charter
whose value is at least 50% of total assets written in the latest financial
statements (excluding assets of trustors and funds or securities investment
companies managed by the company) or a smaller ratio or value specified in
the company's charter;
dd) Elect or dismiss Chairperson of
the Board of Members; designate, dismiss, sign and terminate contracts with
General Director (Director), chief accountant, controllers and other executives
specified in the company's charter; elect, dismiss or replace employees of the
internal audit unit;
e) Decide salaries, remunerations,
bonuses and other benefits of Chairperson of the Board of Members, General
Director (Director), chief accountant and other executives specified in the
company's charter;
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h) Decide the company’s
organizational structure;
i) Decide establishment of
subsidiary companies, branches and representative offices;
k) Revise the company's charter;
l) Decide reorganization of the
company;
m) Decide dissolution or file
bankruptcy of the company;
n) Perform other rights and
obligations prescribed by the company's charter.
Article 45. Chairperson of Board
of Members
1. The Board of Members shall elect
a member as its Chairperson.
2. The Chairperson of the Board of
Members has the following rights and obligations:
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b) Draw up agenda and prepare
documents for meetings or surveys of the Board of Members;
c) Convene and chair meetings of
the Board of Members or organize surveys of the Board of Members;
d) Supervise or organize
supervision of the implementation of resolutions and decisions of the Board of
Members;
dd) Sign resolutions and decisions
of the Board of Members on its behalf;
e) Perform other rights and
obligations prescribed by the company's charter.
3. The term of office of the
Chairperson of the Board of Members shall be specified in the company's charter
bust must not exceed 05 years. The Chairperson of the Board of Members may be
re-elected without limitation on the number of terms.
4. In case the Chairperson of the
Board of Members is not present or not able to perform his rights and
obligations, he/she shall authorize another member in writing to perform the
rights and obligations of the Chairperson of the Board of Members in accordance
with the company's charter. In case no member is authorized or the Chairperson
is dead, missing, detained, serving an imprisonment sentence, serving an
administrative penalty in a correctional institution or rehabilitation center, making
a getaway, has limited legal capacity or is incapacitated, has difficulty in controlling
his/her behavior, is prohibited by the court from holding certain positions or
doing certain works, one of members of the Board of Members shall convene a
meeting with the remaining members to elect one of them as the interim Chairperson
under the majority rule until a new decision is issued by the Board of Members.
Article 46. Convening meetings
of the Board of Members
1. Meetings of the Board of Members
shall be convened by the Chairperson of the Board of Members or at the request
of the member or group of members prescribed in Clause 2 and Clause 3 Article
28 of this Charter. In case the Chairperson of the Board of Members does not
convene a meeting as requested by the aforementioned member or group of members
within 15 days from the day on which the request is received, that member or
group of members may convene the meeting themselves.
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a) Full name, contact address,
nationality, number of ID card or citizen identity card or Passport or another
valid personal identification paper of the member that is an individual; name,
number of enterprise registration certificate or establishment decision or
other document of equivalent validity, and headquarters address of the member
that is an organization; full name and signature of the proposing member or the
proposing member’s authorized representative;
b) The member’s holding, number and
date of issuance of the capital contribution certificate;
c) The proposed contents;
d) Reasons for proposal.
3. The Chairperson of the Board of
Members or the person that convenes the meeting shall accept a proposal that
contains adequate information as prescribed in Clause 2 of this Article and is
sent to the company’s headquarters at least 01 working day before the meeting
date. In case a proposal is put forward right before the beginning of the
meeting, it may be accepted if it is accepted by the majority of the
participants.
4. Invitations to a meeting of the
Board of Members can be sent physically, by phone, fax, electronically or by
other methods prescribed by the company's charter to each member of the Board
of Members. The invitation shall specify the time, location and agenda of the
meeting.
5. The meeting agenda and documents
shall be sent to members before the meeting date. Documents about revisions of
the company's charter, ratification of the company’s development strategy,
annual financial statements, reorganization or dissolution shall be sent to the
members at least 07 working days before the meeting date. The deadlines for
sending other documents shall be specified in the company's charter.
6. Unless otherwise prescribed by
the company's charter, a request to convene a meeting of the Board of Members
mentioned in Clause 1 of this Article shall be made in writing and contain the
following information:
a) Full name, contact address,
nationality, number of ID card or citizen identity card or Passport or another
valid personal identification paper of the member that is an individual; name,
number of enterprise registration certificate or establishment decision or
other document of equivalent validity, and headquarters address of the member
that is an organization; each requesting member’s holding, number and date of
issuance of capital contribution certificate;
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c) The draft agenda;
d) Full names and signatures of the
requesting members or their authorized representatives.
7. In case the request does not
contain adequate information as prescribed in Clause 6 of this Article, the
Chairperson of the Board of Members shall send a written rejection to the
requesting member(s) within 07 working days from the day on which the request
is received. If the request is valid, the Chairperson of the Board of Members
shall convene the meeting within 15 days from the day on which the request is
received.
8. In case the Chairperson of the
Board of Members fails to convene the meeting as prescribed in Clause 7 of this
Article, he/she shall be personally responsible for the damage incurred by the
company and relevant members.
Article 47. Conditions and
procedures for conducting meetings of the Board of Members
1. The meeting shall be conducted
when it is participated by a number of members that hold at least 65% of
charter capital; a specific ratio shall be specified in the company's
charter.
2. In case the conditions for
conducting the first meeting specified in Clause 1 of this Article are not
fulfilled and the company's charter does not provide for this situation
otherwise, the following actions shall be taken:
a) The invitation to the second
meeting shall be sent within 15 days from the first meeting date. The second
meeting shall be conducted when it is participated by a number of shareholders
that hold at least 50% of charter capital;
b) In case the conditions for
conducting the second meeting of the Board of Members prescribed in Point a of
this Clause are not fulfilled, the invitation to the third meeting shall be
sent within 10 days from the second meeting date. The third meeting shall be
conducted regardless of the number of charter capital held by the participants.
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4. In case the duration of a
meeting is longer than the expected one, it may be extended but must not exceed
30 days from its opening date.
Article 48. Resolutions and
decisions of the Board of Members
1. The Board of Members shall
ratify its resolutions and decisions by voting at the meeting, questionnaire
survey or another method specified in the company's charter.
Unless otherwise prescribed by the
company's charter, a resolution or decision on one of the following issues
shall be voted on at the meeting:
a) Revisions to the company's
charter;
b) Orientation for development of
the company;
c) Election, dismissal of the
Chairperson of the Board of Members; designation, dismissal of the Director or General
Director;
d) Ratification of the annual
financial statements;
dd) Reorganization or dissolution
of the company.
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a) It is voted for by a number of
participants that hold at least 65% of total stakes of all participants, except
the case in Point b of this Clause;
b) It is a resolution or decision
to sell assets whose value is at least 50% of total assets written in the
latest financial statements or a smaller ratio or value specified in the
company's charter, a resolution or decision on revisions to the company's
charter, reorganization or dissolution of the company, and is voted for by a
number of participants that hold at least 75% of the total stakes of all
participants;
3. It will be considered that a
member participates in and votes at the meeting of the Board of Members in the
following cases:
a) The member directly participates
in and votes at the meeting;
b) The member authorizes another
person to participate in and vote at the meeting;
c) The member participates and
votes online or through other electronic methods;
d) The member sends the votes to
the meeting by post, fax or email.
4. In case of questionnaire survey,
a resolution or decision will be ratified when it is voted for by a number of
members that hold at least 65% of charter capital; a specific ratio shall be
specified in the company's charter.
Article 49. Minutes of meetings
of the Board of Members
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2. The minutes shall be ratified
right before the meeting ends and contain the following information:
a) Time, location, purposes and
agenda of the meeting;
b) Full names, holdings, numbers
and dates of issues of capital contribution certificates of participating
members and their authorized representatives; full name, stakes, numbers and
dates of issues of capital contribution certificates of non-participating
members and their authorized representatives;
c) The issues that are discussed
and voted on; summaries of the members’ comments on each issue;
d) Quantities of valid votes,
invalid votes, affirmative votes, negative votes and abstentions on each issue;
dd) Ratified decisions and
corresponding ratio of affirmative votes;
e) Full names, signatures and
comments of participants who disagree with the ratification of the minutes (if
any);
g) Full names, signatures of the
minutes taker and the chair of the meeting, except the case in Clause 3 of this
Article.
3. In case the chair and the minutes
taker refuse to sign the minutes, the minutes will be effective if they are
signed by other members of the Board of Members and contain all information prescribed
in Points a, b, c, d, dd and e Clause 2 of this Article. The minutes shall
clearly state the reasons why the chair and the minutes taker refuse to sign
them. The persons who sign the minutes shall be jointly responsible for the
accuracy and truthfulness of the minutes.
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Unless otherwise prescribed by the
company's charter, a questionnaire survey on ratification of resolutions or decisions
of the Board of Members shall be carried out as follows:
1. The Chairperson of the Board of
Members shall decide to carry out a questionnaire survey on ratification of
resolutions and decisions within its jurisdiction.
2. The Chairperson of the Board of
Members shall organize the drafting and sending of reports on the issues, the
resolution or decision and questionnaires to members of the Board of Members.
3. A questionnaire shall contain:
a) The company’s name, enterprise
ID number, headquarter address;
b) Full name, contact address,
nationality, number of ID card, citizen identity card or passport or other
valid personal identification papers of the individual, or the member’s
holding;
c) The issue that needs voting,
options including affirmative, negative and abstentions;
d) The deadline for submission of
the answered questionnaire;
dd) Full name and signature of the
Chairperson of the Board of Members.
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a) The survey issue and purposes;
b) Full names, holdings, numbers
and dates of issue of capital contribution certificates of members that
submitted their answered questionnaires; full names, holdings, numbers and
dates of issue of capital contribution certificates of members whose
questionnaires are not submitted or invalid;
c) The issues that are voted on;
summaries of the members’ comments on each issue (if any);
d) The numbers of valid, invalid
and unsubmitted questionnaires; numbers of valid questionnaires that contain
affirmative votes, negative votes and abstentions on each issue;
dd) The ratified resolutions and/or
decisions and corresponding ratio of affirmative votes;
e) Full names and signatures of the
vote counters and the Chairperson of the Board of Members. The vote counters
and the President of the Board of Members shall be jointly responsible for the
legitimacy, accuracy and truthfulness of the vote counting report.
Article 51. Effect of
resolutions and decisions of the Board of Members
1. Unless otherwise prescribed by
the company's charter, a resolution or decision of the Board of Members shall
take effect from the day on which it is ratified or from the effective date
specified therein.
2. A resolution or decision that is
ratified with 100% of total charter capital shall be lawful and effective even
if the procedures for ratification of such resolution or decision are not
followed.
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Article 52. Controllers and Board
of Controllers
1. The Board of Controllers shall
have 01 – 05 Controllers. The term of office of a controller shall not exceed
05 years, and may be re-appointed without term limit. In case the Board of Controllers
only has 01 controller, he/she shall be the Chief Controller and shall satisfy
corresponding conditions.
2. The Chief Controller and
Controllers shall satisfy the standards and requirements specified in Article
88 and Article 90 of the company's charter and the Law on Enterprises.
3. Rights, obligations,
responsibilities, dismissal and works of Controllers and the Board of
Controllers are specified in Articles 89, 90, 91 and 92 of this Charter and the
Law on Enterprises.
Article 53. Responsibilities of Chairperson
of the Board of Members, General Director (Director), other executives, legal
representatives and Controllers
1. The Chairperson of the Board of
Members, General Director (Director), other executives, legal representatives
and Controllers have the following responsibilities:
a) Exercise and perform their rights
and obligations in an honest, prudent and best manner to protect the company’s
lawful interests;
b) Be loyal to the company’s
interests; do not abuse their power and position or use the company’s information,
secrets, business opportunities and assets for personal gain or serve any other
organization’s or individual’s interests;
c) Promptly, accurately and fully
notify the company of the enterprises that they own or have shares/stakes or
that their related persons own, jointly or separately own controlling
shares/stakes;
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2. The Director or General Director
shall not have a pay rise or bonus when the company is not able to pay its due
debts.
3. The notification mentioned in
Point c Clause 1 of this Article shall be made in writing and contain the
following information:
a) Names, enterprise ID numbers and
headquarters addresses of the enterprises they own or have shares/stakes in;
the holdings and time of owning or holding the shares/stakes;
b) Names, enterprise ID numbers and
headquarters addresses of the enterprises their related persons own, jointly or
separately own controlling shares/stakes enterprises.
4. The notification mentioned in
Clause 3 of this Article shall be sent within 05 working days from the day on
which the event or change occurs. The company shall compile a list of the
entities mentioned in Clause 3 of this Article, their contracts and transactions
with the company. This list shall be kept at the company’s headquarters. Members,
executives, Controllers and their authorized representatives are entitled to
see, copy part or all of the information specified in Clause 3 of this Article
during office hours following the procedures specified in the company's
charter.
Article 54. Contracts and
transactions subject to approval by the Board of Members
1. Contracts and transactions
between the company and the following entities are subject to approval by the
Board of Members:
a) Members and their authorized
representatives, Director or General Director, or the company’s legal
representative;
b) Related persons of the persons
mentioned in Point a of this Clause;
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d) Related persons of the persons
mentioned in Point c of this Clause.
2. The person who concludes a
contract or carries on a transaction on behalf of the company shall send a
notification to members of the Board of Members and the Controllers of the
related entities and interests of such contract or transaction together with
the draft contract or description of the transaction. Unless otherwise
prescribed by company's charter, the Board of Members shall decide whether to
approve or disapprove the contract or transaction within 15 days from the day
on which the notification is received and follow the instructions in Clause 2
Article 48 of this Charter. Members of the Board of Members who are related to
the parties to the contract or transaction must not vote.
3. A contract or transaction shall
be invalidated under a court decision and handled as prescribed by law when it
is concluded or carried out against regulations of Clause 1 and Clause 2 of
this Article. The person who concludes the contract or carries out the
transaction, related members and their related persons shall pay compensation
for any damage caused and return the benefits generated by such contract or
transaction to the company.
Section II. SINGLE-MEMBER LIMITED
LIABILITY COMPANY
Article 55. Organizational
structure of a single-member limited liability company owned by an organization
(The company’s charter shall
specify specific provisions)
Article 56. Board of
Members
1. The Board of Members shall have
03 – 07 members. The members of the Board of Members shall be designated and
dismissed by the company’s owner with a 5-year term of office. The Board of
Members shall perform the owner’s rights and obligations in the owner’s name; perform
the company’s rights and obligations in the company’s name, except the rights and
obligations of the Director or General Director; take responsibility to the law
and the company’s owner for their performance as prescribed by this charter,
the Law on Enterprises and relevant laws. Rights, obligations and working
regulations of the Board of Members shall comply with the company's charter,
the Law on Enterprises and relevant laws.
2. The Chairperson of the Board of
Members shall be designated by the company’s owner or elected by members of the
Board of Members under the majority rule following the procedures specified in
the company's charter. Unless otherwise prescribed by the company's charter,
the term of office, rights and obligations of the Chairperson of the Board of
Members shall comply with Article 45 of this Charter and relevant regulations.
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4. A meeting of the Board of
Members shall be conducted when it is participated in by at least two thirds of
the members. Unless otherwise prescribed by the company's charter, each member
of the Board of Members shall have one vote with equal value. Resolutions and
decisions of the Board of Members may be ratified by questionnaire survey.
5. A resolution or decision of the
Board of Members will be ratified when it is voted for by more than 50% of the
participating members or by a number of participating members that hold more
than 50% of the total votes. Revisions to the company's charter, reorganization
of the company, transfer of all or part of the company’s charter capital must
be voted for by at least 75% of the participating members or by a number of
participating members that hold more than 75% of the total votes. A resolution
or decision of the Board of Members takes effect from the day on which it is
ratified or on the effective date written therein, unless otherwise prescribed
by the company's charter.
6. Minutes of every meeting of the
Board of Members shall be taken. Audio recording or electronic forms are
optional. Minutes of meetings of the Board of Members shall comply with Clause
2 Article 49 of this Charter.
Article 57. Company’s President
1. The company’s President shall be
designated by the company’s owner. The company’s President shall perform the
owner’s rights and obligations in the owner’s name; perform the company’s
rights and obligations in the company’s name, except the rights and obligations
of the Director or General Director; take responsibility to the law and the
owner for his/her performance as prescribed by this charter, the Law on
Enterprises and relevant laws. Rights, obligations and working regulations of
the company’s President shall comply with the company's charter, the Law on
Enterprises and relevant laws.
2. A decision of the company’s
President on performance of rights and obligations of the company’s owner shall
be effective from the day on which it is approved by the owner, unless
otherwise prescribed by the company's charter.
Article 58. Responsibilities of
members of Board of Members, company’s President, General Director (Director),
other executives and Controllers
1. Comply with regulations of law,
the company's charter, and decisions of the company’s owner in performance of
their rights and obligations.
2. Perform their rights and
obligations in an honest and prudent manner to serve the best and lawful
interests of the company and its owner.
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4. Promptly, accurately and fully
notify the company of the enterprises that they own or have shares/stakes or
that their related persons own, or jointly or separately own controlling
shares/stakes. The notification shall be retained at the company’s
headquarters.
5. Discharge other responsibilities
as prescribed by the company's charter.
Article 59. Organizational
structure of a single-member limited liability company owned by an individual
(The company’s charter shall
specify specific provisions)
Article 60. Contracts and
transactions between the company and related persons
1. Unless otherwise prescribed by
the company's charter, contracts and transactions between a single-member
limited liability company owned by an organization and the following persons
are subject to approval by the Board of Members or the company’s President,
Director or General Director and Controllers:
a) The company’s owner and his/her
related persons;
b) Members of the Board of Members,
the company’s President, Director or General Director and Controllers;
c) Related persons of the persons
mentioned in Point b of this Clause;
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dd) Related persons of the persons
mentioned in Point d of this Clause.
2. The person who concludes a
contract or carries on a transaction in the company’s name shall send a
notification to the Board of Members or the company’s President, Director or General
Director and Controllers of the related persons and interests; the notification
shall be enclosed with the draft contract or summary of the transaction.
3. Unless otherwise prescribed by
the company's charter, members of the Board of Members or the company’s
President, Director or General Director and Controllers shall decide whether to
approve the contract or transaction within 10 days from the receipt of the
notification under the majority rule. Each person shall have one vote; related
persons of the parties shall not vote.
4. A contract or transaction
mentioned in Clause 1 of this Article shall only be approved if the following
conditions are fully satisfied:
a) The parties to the contract or
transaction are independent legal entities that have separate rights,
obligations, assets and interests;
b) The prices applied to the
contract or transactions are market prices at the time the contract is
concluded or at the time the transaction is conducted;
c) The company’s owner fulfills the
obligations specified in Clause 4 Article 33 of this Charter.
5. A contract or transaction shall
be invalidated under a court decision and handled as prescribed by law when it
is concluded or carried out against regulations of Clauses 1, 2, 3 and 4 of
this Article. The person who concludes the contract or carries out the
transaction and related persons of the parties shall jointly pay compensation
for any damage caused and return the benefits generated by such contract or
transaction to the company.
6. Every contract or transaction
between a single-member limited liability company owned by an individual and
the company’s owner or related persons of the owner shall be recorded in
separate documents of the company.
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Article 61. Organizational
structure of a joint-stock company
(The company’s charter shall
specify specific provisions)
General Meeting of Shareholders (GMS)
Article 62. Rights and
obligations of GMS
1. The GMS shall consist of all
voting shareholders and is the supreme body of the company.
2. The GMS has the following rights
and obligations:
a) Ratify the orientation for
development of the company;
b) Decide the types of authorized
shares and quantity of each type; decide the annual dividends of each type of
shares;
c) Elect, dismiss members of the
Board of Directors and Controllers;
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dd) Decide revisions to the
company’s charter;
e) Ratify annual financial
statements;
g) Decide repurchase of more than
10% of total sold shares of each type;
h) Take actions against violations
committed by members of the Board of Directors or Board of Controllers that
cause damage to the company and its shareholders;
i) Decide reorganization or
dissolution of the company;
k) Decide the budget or total
salaries, bonuses and other benefits of the Board of Directors and the Board of
Controllers;
l) Approve the rules and
regulations of the company, the Board of Directors and the Board of
Controllers;
m) Approve the list of independent
audit companies; choose independent audit companies that shall carry out audit
of the company; dismiss independent audits where necessary;
n) Perform other rights and obligations
prescribed by the company's charter.
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1. The GMS shall be convened
annually. In addition to annual meeting, the GMS may meet whenever necessary. The
meeting location is the place where the chair attends and shall be within Vietnam’s territory.
2. The annual GMS shall be convened
within 04 months from the end of the fiscal year. Unless otherwise prescribed
by the company's charter, the Board of Directors shall decide deferral of the
annual GMS where necessary by up to 06 months from the end of the fiscal year. The
following issues shall be discussed and ratified at the annual GMS:
a) The company’s annual business
plan;
b) The annual financial statements;
c) The report of the Board of
Directors on its performance and that of each of its members;
d) The report of the Board of
Controllers on the company’s business performance, performance of the Board of
Directors, General Director (Director);
dd) The report of the Board of
Controllers on its performance and that of each controller;
e) Dividend of each type of shares;
g) Other issues within its
jurisdiction.
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a) The meeting is necessary for the
company’s interests;
b) The quantity of remaining
members of the Board of Directors and Board of Controllers is smaller than the
minimum quantity prescribed by law;
c) The meeting is requested by the
shareholder or group of shareholders mentioned in Clause 2 Article 10 of this
Charter;
d) The meeting is requested by the
Board of Controllers;
dd) The meeting is convened in
other cases prescribed by law and the company's charter.
4. Unless otherwise prescribed by
the company's charter, the Board of Directors shall convene the GMS within 30
days from the date of occurrence of the event mentioned in Point b Clause 3 of
this Article or the day on which the request for holding the meeting mentioned
in Point c and Point d Clause 3 of this Article is received. If the Board of
Directors fails to convene such GMS, the Chairperson and members of the Board
of Directors shall pay compensation for the damage incurred by the company.
5. In case the Board of Directors
fails to convene a GMS as prescribed in Clause 4 of this Article, the Board of
Controllers shall convene a GMS within the next 30 days in accordance with
regulations. If the Board of Controllers fails to convene the GMS, it shall pay
compensation for the damage incurred by the company.
6. In case the Board of Controllers
fails to convene a GMS as prescribed in Clause 5 of this Article, the
shareholder or group of shareholders prescribed in Clause 2 Article 10 of this Charter
may convene the GMS on behalf of the company in accordance with regulations.
7. The person who convenes the GMS
shall:
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b) Provide information and settle
complaints relevant to the aforementioned list;
d) Prepare documents for the
meeting;
dd) Draft the resolution of the GMS
according to the meeting agenda; prepare a list and detailed information about
the candidates for members of the Board of Directors and Controllers (in case
of election);
e) Determine the meeting time and
location;
g) Send the invitation to each
shareholder entitled to participate in the GMS as prescribed in this Charter;
h) Perform other tasks serving the
meeting.
8. The costs of convening and
conducting the GMS as prescribed in Clauses 4, 5 and 6 of this Article shall be
reimbursed by the company.
Article 64. List of shareholders
entitled to participate in the GMS
1. The list of shareholders
entitled to participate in the GMS shall be compiled according to the company’s
shareholder register. The list shall be compiled not more than 10 days before
day on which the invitations to the GMS are sent if a shorter period is not
specified in the company's charter.
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3. Shareholders are entitled to
access and make copies of names and contract addresses of shareholders on the
list; request correction of errors or addition of information about themselves
on the list. The company’s executives shall promptly provide information in the
shareholder register, revise and add information as requested by the
shareholders; pay compensation for damage caused by the failure to provide or inaccurately
or lately provide information about shareholder register as requested. The
procedures for requesting provision of information in the shareholder register
shall be specified in the company's charter.
Article 65. Agenda of the GMS
1. The person who convenes the GMS
shall prepare the agenda.
2. The shareholder or group of
shareholders specified in Clause 2 Article 10 of this Charter is entitled to
propose additional issues to the GMS agenda. The proposal shall be made in
writing and sent to the company at least 03 working days before the opening
date, unless another period is specified in the company's charter. The
proposal shall contain the shareholder’s name and the proposed issues.
3. In case the proposal mentioned
in Clause 2 of this Article is rejected by the person who convenes the GMS, a
written response, in which reasons for rejection must be specified, must be
provided at least 02 days before the opening day. A proposal may only be
rejected in the following cases:
a) The proposal is sent against the
regulations of Clause 2 of this Article;
b) The issue exceeds the
jurisdiction of the GMS;
c) Other cases prescribed by the
company's charter.
4. The person who convenes the GMS
shall include the issues proposed in accordance with Clause 2 of this Article
in the draft agenda, except in the cases specified in Clause 3 of this Article;
The issues will be included in the official agenda if their inclusion is
accepted by the GMS.
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1. The person who convenes the GMS
shall send invitations to all shareholders on the list of shareholders entitled
to participate in the GMS at least 21 days before the opening day, unless a
longer period is specified in the company's charter. The invitation shall
contain the participant’s name, headquarters or contact address, enterprise ID
number, time and location of the meeting and other requirements.
2. Invitations shall be sent to
contact addresses of the shareholders and posted on the company’s website. If
necessary, the invitation may be published on a local or central daily
newspaper as prescribed by the company's charter.
3. An invitation shall be sent
together with:
a) The meeting agenda, meeting
documents and the draft resolution on each issue in the agenda;
b) The votes.
4. The invitation and meeting
documents mentioned in Clause 3 of this Article may be uploaded on the
company’s website (if any) instead of sending physical invitations and
documents. In this case, the invitation shall contain instructions on how to
download the documents.
Article 67. Exercising the right
to attend the GMS
1. Shareholders and authorized representatives
of shareholders that are organizations may directly participate in the GMS or
authorize one or some other organizations and individuals to participate in the
GMS, or participate in the GMS in one of the forms specified in Clause 3 of
this Article.
2. The authorization of
participants in the GMS shall be made in writing. The authorization letter
shall be made in accordance with civil laws and specify the name of the
authorized participant, the quantity of shares authorized. The authorized
participant shall present the authorization letter before entering the meeting
room.
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a) The shareholder directly
participates in and votes at the meeting;
b) The shareholder authorizes
another organization or individual to participate in and vote at the meeting;
c) The shareholder participates and
votes online or through other electronic methods;
d) The shareholder sends the votes
to the GMS by post, fax or email;
dd) The shareholder sends the votes
by other means specified in the company's charter.
Article 68. Conditions for
conducting the GMS
1. The GMS shall be conducted when
it is participated by a number of shareholders representing more than 50% of
total votes; (the specific ratio shall be specified in the company's
charter).
2. In case the conditions for
conducting the first meeting specified in Clause 1 of this Article are not
fulfilled, the second invitation shall be sent within 30 days from the first
meeting date, unless otherwise prescribed by the company's charter. The second
GMS shall be conducted when it is participated by a number of shareholders representing
at least 33% of total votes; (the specific ratio shall be specified in the
company's charter).
3. In case the conditions for
conducting the second meeting specified in Clause 2 of this Article are not
fulfilled, the third invitation shall be sent within 20 days from the second
meeting date, unless otherwise prescribed by the company's charter. In this
case, the GMS shall be conducted regardless of the number of votes represented
by the participants.
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Article 69. Meeting and voting
protocol
Unless otherwise prescribed by the
company's charter, the following meeting and voting protocol shall be followed:
1. The shareholders that
participate in the GMS shall be registered before the meeting is declared open;
2. Election of the chair, secretary
and election board:
a) The Chairperson of the Board of
Directors shall assume the role of the chair or authorize a member of the Board
of Directors to chair the GMS if it is convened by the Board of Directors. In
case the chair is not present or is temporarily unable to work, the remaining
members of the Board of Directors shall elect one of them as the chair of the
meeting under the majority rule. In case a chair cannot be elected, the chief
of the Board of Controllers shall preside over the election of the chair of the
meeting of the GMS, in which case the person that receives the most votes will
be the chair;
b) Except for the cases specified
in Point a of this Clause, the person that signs the decision to convene the
GMS shall preside over the election of the chair by the GMS, in which case the
person that receives the most votes will be the chair;
c) The chair shall designate one or
some persons as the secretary(ies) of the GMS;
d) The GMS shall elect one or some
people as the election board as requested by the chair.
3. The meeting agenda shall be
ratified by the GMS during the opening session. The agenda shall specify the
duration of each issue therein.
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5. The GMS shall discuss and vote
on each issue included in the meeting agenda. Votes include affirmative votes,
negative votes and abstentions. The voting result shall be announced by the
chair before the meeting ends, unless otherwise prescribed by the company's
charter.
6. Shareholders or their authorized
participants that arrive at the meeting after it is declared open will be
registered and have the right to vote after registration. In this case,
previous voting result shall remain unchanged.
7. The person who convenes or chairs
the GMS has the rights to:
a) Request all participants to
facilitate inspection and other lawful and reasonable security measures;
b) Request a competent authority to
maintain order during the meeting; expel those who do not comply with the
chair’s instructions, deliberately disrupt order, obstruct the meeting progress
or disobey security requirements.
8. The chair is entitled to
postpone the GMS that has a sufficient number of participants for up to 03
working days from the initial opening date or change the meeting location in
the following cases:
a) The current meeting location
does not have enough seats for all participants;
b) Communication devices at the
current meeting location are not adequate for all participants to discuss and
vote;
c) One or some participants disrupt
or obstruct the meeting and thus threaten the fairness and legality of the
meeting.
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Article 70. Methods for
ratifying resolutions of the GMS
1. The GMS shall decide
ratification of resolutions by voting or questionnaire survey.
2. Unless otherwise prescribed by
the company's charter, resolutions of the GMS on the following issues shall be
voted on at the meeting:
a) Revisions to the company's
charter;
b) Orientation for development of
the company;
c) Types of shares and quantity of
shares of each type;
d) Election or dismissal of members
of the Board of Directors and the Board of Controllers;
dd) Investment or sale of assets
that are worth at least 35% of the total assets written in the latest financial
statements of the company, unless another ratio or value is specified in the
company's charter;
e) Ratification of annual financial
statements;
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Article 71. Conditions for
ratification of resolutions of the GMS
1. A resolution on one of the
following issues will be ratified if it is voted for by a number of
shareholders that represent at least 65% (a specific ratio shall be
specified in the company's charter) of votes of all participants, except
for the cases specified in Clauses 3, 4 and 6 of this Article:
a) Types of shares and quantity of shares
of each type;
b) Change of the company’s business
lines;
c) Change of the company’s
organizational structure;
d) Investment in or sale of assets
that are worth at least 35% of the total assets written in the latest financial
statement, unless another ratio or value is specified in the company's
charter;
dd) Reorganization or dissolution
of the company;
e) Other issues specified in the
company’s charter.
2. A resolution will be ratified
when it is voted for by a number of shareholders that hold more than 50% (a
specific ratio shall be specified in the company's charter) of the votes of
all participants, except for the cases specified in Clauses 1, 3, 4 and 6 of
this Article.
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4. In case of questionnaire survey,
a resolution will be ratified when it is voted for by a number of shareholders
that hold more than 50% (a specific ratio shall be specified in the
company's charter) of the votes of all voting shareholders.
5. A resolution of the GMS shall be
notified to the shareholders having the right to participate in the GMS within
15 days from the day on which it is ratified. It may be also uploaded on the
company’s website (if any) instead of sending the physical notification.
6. A resolution on adverse changes
to rights and obligations of preference shareholders may only be ratified if it
is voted for by a number of preference shareholders that participate in the
meeting and hold at least 75% of the same kind of preference shares. In case of
questionnaire survey, it needs to be approved by a number of preference shareholders
that hold at least 75% of the same kind of preference shares.
Article 72. Power and method for
ratifying resolutions of the GMS by questionnaire survey
Unless otherwise prescribed by the
company's charter, a questionnaire survey on ratification of a resolution of
the GMS shall be carried out as follows:
1. The Board of Directors is
entitled to carry out questionnaire survey to ratify a resolution of the GMS
when it is considered necessary for the company’s interests, except for the
cases specified in Clause 2 Article 70 of this Charter;
2. The Board of Directors shall
prepare the questionnaires, the draft resolution and explaining documents, and
send them to all voting shareholders at least 10 days before the deadline for
submission of the questionnaires, unless a longer period is specified in the
company's charter. The list of shareholders to receive the questionnaires shall
be compiled in accordance with Clause 1 and Clause 2 Article 64 of this
Charter. Questionnaires and documents shall be sent in accordance with Article
66 of this Charter.
3. A questionnaire shall contain:
a) The company’s name, enterprise
ID number and headquarter address;
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c) If the shareholder is an
individual: full name, contact address, nationality, number of ID card or
citizen identity card or Passport or another valid personal identification
paper; if the shareholder is an organization: name, number of enterprise
registration certificate or establishment decision or other document of
equivalent validity, and headquarters address of the organization or full name,
contact address, nationality, number of ID card or citizen identity card or
Passport or another valid personal identification paper of the organization’s
representative; quantity of shares of each type and number of votes of the
shareholder;
d) The issues that need voting;
dd) The options including
affirmative, negative and abstention;
e) Deadline for submission of the
answered questionnaire;
g) Full name and signature of the
Chairperson of the Board of Directors;
4. Shareholders may send answered
questionnaires to the company by post, fax or email as follows:
a) An answered questionnaire sent
by post shall bear the signature of the shareholder (if the shareholder is an
individual) or the shareholder’s authorized representative or legal
representative (if the shareholder is an organization. The answered
questionnaire shall be placed in a closed envelope which must not be opened
before the vote counting time;
b) An answered questionnaire sent
by fax or email shall be kept confidential until the vote counting time;
c) Answered questionnaires that are
submitted after the deadline or opened before the vote counting time (for those
sent by post) or revealed (for those sent by fax or email) shall be considered
invalid. Questionnaires that are not submitted shall not be counted as votes.
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a) The company’s name, enterprise
ID number and headquarter address;
b) Purposes and the issue that
needs voting;
c) Quantities of voters, votes
casted, valid votes and invalid votes, voting method and the list of voters;
d) Quantities of affirmative votes,
negative votes and abstentions on each issue;
dd) Ratified decisions and
corresponding ratio of affirmative votes;
e) Full names and signatures of the
Chairperson of the Board of Directors, vote counting supervisors and vote
counters.
The members of the Board of
Directors, vote counters and vote counting supervisor are jointly responsible
for the accuracy and honesty of the vote counting record; for the damage caused
from the decisions that are ratified due to inaccurate or dishonest vote
counting.
6. The vote counting record and the
resolution shall be sent to all shareholders within 15 days from the date of
completion of the vote counting. Such record and resolution may be also
uploaded on the company’s website (if any) instead of sending the physical
ones.
7. Answered questionnaires, the
vote counting record, the ratified resolution and relevant documents enclosed
with the answered questionnaires shall be retained at the company’s
headquarters.
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Article 73. Minutes of the GMS
1. Minutes of every meeting of the
GMS shall be taken. Audio recording or electronic forms are optional. The
minutes shall be taken in Vietnamese language, may be translated into foreign
language, and shall contain the following information:
a) The company’s name, enterprise
ID number and headquarter address;
b) Time and location of the GMS;
c) The meeting agenda;
d) Full names of the chair and
secretary of the meeting;
dd) Summary of developments of the
meeting, comments at the GMS on each issue on the agenda;
e) Quantities of shareholders and
votes casted by shareholders that participated in the meeting, the list of
subscribed shareholders and shareholders’ representatives that participated in
the meeting and their votes;
g) Number of affirmative votes on
each issue, voting method, numbers of valid votes, invalid votes, affirmative
votes, negative votes and abstentions, their ratios to total number of votes of
all participants;
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i) Full names and signatures of the
chair and secretary of the meeting.
In case the chair and the secretary
refuse to sign the minutes, the minutes will be effective if they are signed by
other members of the Board of Directors and contain all information prescribed
in this Clause. The minutes shall clearly state the reasons why the chair and
the secretary refuse to sign them.
2. The minutes of the GMS shall be
completed and ratified before the meeting ends.
3. The chair and secretary or other
persons who sign the minutes are jointly responsible for the accuracy and
truthfulness of the minutes.
4. The Vietnamese and foreign
language copies of the minutes have the same legal effect. In case of any
discrepancy between them, the Vietnamese copy shall prevail.
5. The minutes of the GMS shall be
sent to all shareholders within 15 days from the ending date of the meeting;
the vote counting record may be uploaded to the company’s website.
6. The minutes of the GMS, the list
of registered participants, the ratified resolutions and documents enclosed
with the invitations shall be retained at the company’s headquarters.
Article 74. Requesting
invalidation of a resolution of the GMS
Within 90 days from the receipt of
the resolution or minutes of the GMS or the vote counting record, the
shareholder or group of shareholders mentioned in Clause 2 Article 10 of this Charter
is entitled to request the court or an arbitral tribunal to consider
invalidating the resolution in part or in full in the following cases:
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2. The contents of the resolution
violates the law or the company’s charter.
Article 75. Effect of a
resolution of the GMS
1. The resolution of the GMS takes
effect from the day on which it is ratified or on the effective date specified
therein.
2. A resolution that is ratified by
100% of the voting shares shall be lawful and effective even if the procedures
for convening the meeting and issuing such resolution prescribed in the law and
the company's charter are not followed;
3. In case a shareholder or group
of shareholders requests the court or an arbitral tribunal to consider
invalidating the resolution as prescribed in Article 74 of this charter, the
resolution shall remain effective until the effective date of the decision on
invalidation of such resolution, except for the cases in which temporary
emergency measures are implemented under a decision of a competent authority.
Board
of Directors
Article 76. Board of Directors
1. The Board of Directors is the
managerial body of the company and shall act on behalf of the company to make
decisions, and perform rights and obligations of the company, except the rights
and obligations of the GMS.
2. The Board of Directors has the
following rights and obligations:
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b) Propose the types of authorized
shares and quantity of each type;
c) Decide the sale of certain types
of unsold authorized shares; decide other methods of raising capital;
d) Decide selling prices for the
company’s shares and bonds;
dd) Decide repurchase of shares as
prescribed in Points a, b Clause 2 Article 19 of this charter;
e) Decide the investment plan and
investment projects within its jurisdiction and limitations prescribed by law;
g) Decide solutions for market
development, marketing and technology;
h) Approve sale contracts, purchase
contracts, borrowing contracts, lending contracts, other contracts and
transactions that are worth at least 35% of the total assets written in the
latest financial statements of the company (excluding assets of trustors and
funds or securities investment companies managed by the company), unless
another ratio or value is specified in the company's charter, and contracts
and transactions within the jurisdiction of the GMS as prescribed in Point d
Clause 2 Article 62, Clause 1 and Clause 3 Article 87 of this charter;
i) Elect or dismiss the Chairperson
of the Board of Directors; designate, dismiss, enter into and terminate
contracts with the Director or General Director and other key executives
specified in the company's charter; decide salaries, remunerations, bonuses and
other benefits of these executives; appoint, dismiss or replace employees of
the internal audit unit; designate authorized representatives to participate in
the Board of Members or GMS of another company; decide their remunerations and
other benefits;
k) Supervise the General Director (Director)
and other executives managing the company’s everyday business;
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m) Approve the agenda and documents
of the GMS; convene the GMS or carry out surveys for the GMS to ratify its
resolutions;
n) Submit annual financial
statements to the GMS;
o) Propose the dividends; decide
the time and procedures for paying dividends or settling business losses;
p) Propose reorganization or
dissolution or file bankruptcy of the company;
q) Perform other rights and
obligations prescribed by the Law on Enterprises and the company's charter.
3. The Board of Directors shall ratify
its resolutions and decisions by voting at the meeting, questionnaire survey or
another method specified in the company's charter. Each member of the Board of
Directors shall have one vote.
4. When performing its functions
and tasks, the Board of Directors shall comply with regulations of law, the
company’s charter and resolutions of the GMS. In case a resolution or decision
is ratified by the Board of Directors against regulations of law or a
resolution of the GMS or the company’s charter and causes damage to the
company, the members that vote for the ratification of such resolution or
decision shall be jointly responsible for it and pay compensation for the
company; the members that vote against such resolution or decision shall not be
held responsible. In this case, the company’s shareholders are entitled to
request the court to suspend or invalidate the resolution or decision.
Article 77. Members of Board of
Directors
1. The Board of Directors shall
have 03 – 11 members. The specific quantity of members shall be prescribed by
the company’s charter.
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3. In case the term of office of
all members of the Board of Directors ends at the same time, they shall remain
members of the Board of Directors until new members are elected and take over
their jobs, unless otherwise prescribed by company's charter.
4. The company's charter shall
specify the quantity, rights and obligations of independent members of the
Board of Directors; method for organizing and coordinating their activities.
5. Organizational structure,
standards and requirements to be satisfied by members and independent members
of the Board of Directors shall be prescribed by the company’s charter in
accordance with regulations of the Law on Enterprises and the Law on
Securities.
Article 78. Chairperson of Board
of Directors
1. The Board of Directors shall
elect one of its members as the Chairperson of the Board of Directors; dismiss
its Chairperson.
2. The Chairperson of the Board of
Directors has the following rights and obligations:
a) Plan the activities of the Board
of Directors;
b) Draw up agenda and prepare
documents for meetings of the Board of Directors; convene and chair the
meetings;
c) Organize the ratification of
resolutions and decisions of the Board of Directors;
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dd) Chair the meetings of the GMS;
e) Perform other rights and
obligations prescribed by the Law on Enterprises and the company's charter.
3. In case the Chairperson of the
Board of Directors is not present or not able to perform his/her tasks, he/she
shall authorize another member in writing to perform the rights and obligations
of the Chairperson of the Board of Directors in accordance with the company's
charter. In case no member is authorized or the Chairperson is dead, missing,
detained, serving an imprisonment sentence, serving an administrative penalty
in a correctional institution or rehabilitation center, making a getaway, has
limited legal capacity or is incapacitated, has difficulty in controlling
his/her behavior, is prohibited by the court from holding certain positions or
doing certain works, one of members of the Board of Directors shall convene a
meeting with the remaining members to elect one of them as the interim
Chairperson under the majority rule until a new decision is issued by the Board
of Directors.
Article 79. Dismissal, discharge,
replacement and addition of members of the Board of Directors
1. The GMS shall dismiss a member
of the Board of Directors from office in the following cases:
a) He/she does not fully satisfy
the requirements specified in Article 77 of this Charter;
b) He/she hands in a resignation which
is accepted;
c) Other cases prescribed by the
company's charter.
2. The GMS shall discharge a member
of the Board of Directors in the following cases:
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b) Other cases prescribed by the
company's charter.
3. Where necessary, the GMS shall
replace members of the Board of Directors; dismiss or discharge members of the
Board of Directors in cases other than those specified in Clause 1 and Clause 2
of this Article.
4. The Board of Directors shall
convene the GMS to elect additional members of Board of Directors in the
following cases:
a) The number of members of the
Board of Directors decreases by more than one third of the number specified in
the company's charter. The Board of Directors shall convene the GMS within 60
days from the occurrence of such decrease;
b) The number of independent
members of the Board of Directors falls below the minimum number prescribed by
law;
c) Except the cases specified in
Point a and Point b of this Clause, the nearest GMS shall elect new members of
the Board of Directors to replace the dismissed members.
Article 80. Meetings of the
Board of Directors
1. The Chairperson of the Board of
Directors shall be elected during the first meeting of the Board of Directors
within 07 working days from the election of that Board of Directors. This
meeting shall be convened and chaired by the member that received the highest
number of votes. In case more than one member received the same highest number
of votes, one of them will be elected by the members under majority rule to
convene the meeting of the Board of Directors.
2. Meetings of the Board of
Directors shall be held at least quarterly and on an ad hoc basis.
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a) It is requested by the Board of
Controllers or independent members of the Board of Directors;
b) It is requested by the Director
or General Director or at least 05 other executives;
c) It is requested by at least 02
members of the Board of Directors;
d) Other cases prescribed by the
company's charter.
4. The request mentioned in Clause
3 of this Article shall be made in writing and specify the issues that need
discussing and deciding within the jurisdiction of the Board of Directors.
5. The Chairperson of the Board of
Directors shall convene the meeting within 07 working days from the day on
which the request mentioned in Clause 3 of this Article is received. Otherwise,
he/she shall be responsible for the damage to the company and the requesting
person is entitled to convene the meeting of the Board of Directors.
6. The Chairperson of the Board of
Directors or the person that convenes the meeting shall send the invitations to
the meeting at least 03 working days before the meeting date, unless otherwise
prescribed by the company's charter. The invitation shall specify the meeting
time, location, agenda, and issues to be discussed. The invitation shall be
enclosed with meeting documents and votes.
The invitations can be sent
physically, by phone, fax, electronically or by other methods prescribed by the
company's charter to the registered mailing address of each member of the Board
of Directors.
7. The Chairperson of the Board of
Directors or the person that convenes the meeting shall send the same
invitations and documents to the Controllers. Controllers are entitled to
participate in meetings of the Board of Directors and discuss but must not vote.
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9. It will be considered that a
member participates in and votes at the meeting of the Board of Directors in
the following cases:
a) He/she directly participates in
and votes at the meeting;
b) He/she authorizes another person
to participate in and vote at the meeting as prescribed in Clause 11 of this
Article;
c) He/she participates in the
meeting and votes online or through other electronic methods;
d) He/she sends his/her vote to the
meeting by post, fax or email;
dd) He/she sends the votes by other
means specified in the company's charter.
10. A vote that is sent by post
shall be put in a closed envelope and be delivered to the Chairperson of the
Board of Directors at least 01 hour before the opening time. Votes shall only
be opened in the presence of all participants.
11. The members shall participate
in all meetings of the Board of Directors. They may authorize other persons to
participate in and vote at the meeting if accepted by the majority of members
of the Board of Directors.
12. Unless a higher ratio is
prescribed by the company's charter, a resolution or decision of the Board of
Directors shall be ratified if it is voted for by the majority of the
participants. In case of equality of votes, the option that is voted for by the
Chairperson of the Board of Directors shall prevail.
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1. Minutes of all meetings of the Board
of Directors shall be taken. Audio recordings and other electronic forms are
optional. The minutes shall be taken in Vietnamese language, may be translated
into foreign languages, and shall contain the following information:
a) The company’s name, enterprise
ID number and headquarter address;
b) Time and location of the
meeting;
c) Purposes and agenda of the
meeting;
d) Full names of participating
members or the persons authorized to participate in the meeting and how they
participate in the meeting; full names of non-participating members and their
excuses;
dd) The issues to be discussed and
voted on at the meeting;
e) Summary of comments of each
participating member in chronological order;
g) Voting result, the members that
cast affirmative votes, negative votes and abstentions;
h) Ratified decisions and
corresponding ratio of affirmative votes;
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2. In case the chair and the
minutes taker refuse to sign the minutes, the minutes will be effective if they
are signed by other members of the Board of Directors and contain all information
prescribed in Points a, b, c, d, dd, e, g and h Clause 1 of this Article.
3. The chair, the minutes taker and
the persons who sign the minutes shall be responsible for the accuracy and
truthfulness of the minutes.
4. The minutes and meeting documents
shall be retained at the company’s headquarters.
5. The Vietnamese and foreign
language copies of the minutes have the same legal effect. In case of any
discrepancy between them, the Vietnamese copy shall prevail.
Article 82. Rights to
information of the Board of Directors
1. Members of the Board of
Directors are entitled to request the Director, Deputy Director or General
Director, Deputy General Director and other executives of the company to
provide information and documents about the finance and business performance of
the company and its units.
2. The requested executives shall
provide information and documents fully and accurately as requested by the
members of the Board of Directors. The procedures for requesting and providing
information shall be specified in the company's charter.
Article 83. Audit committee
1. Audit committee is a specialized
body affiliated to the Board of Directors. The audit committee has at least 02
members. The Chairperson of the audit committee shall be an independent member
of the Board of Directors. Other members of the audit committee shall be
non-executive members of the Board of Directors.
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3. The audit committee has the
following rights and obligations:
a) Inspect the truthfulness of the
company’s financial statements and make official announcements about the
company’s finance;
b) Review the internal control and
risk management systems;
c) Review transactions with related
persons subject to approval by the Board of Directors or the GMS; offer
recommendations on these transactions;
d) Supervise the company’s internal
audit unit;
dd) Propose independent audit
company, remunerations, terms and conditions in the contract with the audit
company to the Board of Directors before it is submitted to the annual GMS;
e) Monitor and evaluate the
independence and objectivity of the audit company and effectiveness of the
audit, especially when the company uses non-audit services of the audit
company;
g) Supervise the company’s
compliance with law, requests of competent authorities and the company’s rules
and regulations.
Article 84. Disclosure of
related interests
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1. The company shall compile a list
of its related persons in accordance with regulations of law, their contracts
and transactions with the company.
2. Members of the Board of
Directors, Controllers, Director or General Director and other executives of
the company shall declare their related interests, including the following
information:
a) Names, enterprise ID numbers,
headquarters addresses and business lines of the enterprises they own or have
shares/stakes in; the holdings and time of owning or holding the shares/stakes;
b) Names, enterprise ID numbers,
headquarters addresses, and business lines of the enterprises their related
persons own, jointly or separately own shares/stakes that are worth more than
10% of charter capital.
3. The information specified in
Clause 2 of this Article shall be declared within 07 working days from the day
on which the related interests are brought about; any revision shall be
notified to the company within 07 working days from its date of occurrence.
4. The list of related persons and
their declarations mentioned in Clause 1 and Clause 2 of this Article shall be
retained, disclosed, accessed, extracted and copied as follows:
a) The company shall announce the
list of related persons and interests at the annual GMS;
b) The list shall be retained at
the company’s headquarters; part or all of the list may be retained at the
company’s branches where necessary;
c) Shareholders and their
authorized representatives, members of the Board of Directors, the Board of
Controllers, Director or General Director and other executives are entitled to
access, extract and make copies of part or all of the list;
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5. When members of the Board of
Directors and the General Director (Director) do business within the company’s
business lines in their own names or others’ names, they shall explain the
nature and contents of such business to the Board of Directors and the Board of
Controllers, and may only proceed if it is accepted by the majority of the
remaining members of the Board of Directors. Otherwise, all incomes from such
business will belong to the company.
Article 85. Responsibilities of
the company’s executives
1. Members of the Board of
Directors, the General Director (Director) and other executives have the
following responsibilities:
a) Perform their rights and obligations
in accordance with the Law on Enterprises, relevant laws, the company's charter
and resolutions of the GMS;
b) Exercise and perform their
rights and obligations in an honest, prudent and best manner to protect the
company’s lawful interests;
c) Be loyal to the company’s
interests and shareholders; do not abuse their power and position or use the
company’s information, secrets, business opportunities and assets for personal
gain or serve any other organization’s or individual’s interests;
d) Promptly, accurately and fully
provide the company with the information specified in Clause 2 Article 84 of
this charter;
dd) Other responsibilities
prescribed by laws and the company's charter.
2. The member of the Board of
Directors, Director or General Director or another executive that violates
Clause 1 of this Article shall be personally or jointly responsible for the
loss, return the benefits received and compensate for damage to the company and
third parties.
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1. A shareholder or group of
shareholders that holds at least 01% of the total ordinary shares may, in their
own names or in the company’s name, file lawsuit against a member of the Board
of Directors or Director or General Director to claim interests or damages for
the company or another person if that member, or Director or General Director:
a) fails to fulfill the executive’s
duties prescribed in Article 85 of this charter;
b) fails to comply with or inadequately,
lately or improperly performs their rights and obligations as prescribed by
law, the company's charter, resolution or decision of the Board of Directors;
c) abuses their power and position
or uses the company’s information, secrets, business opportunities and assets
for personal gain or serve any other organization’s or individual’s interests;
d) Other cases prescribed by the
company's charter.
2. Lawsuits shall be filed in
accordance with civil proceedings laws. Proceedings costs in case the lawsuit
is filed on behalf of the company shall be recorded as the company’s expenses,
unless the lawsuit is rejected.
3. The shareholder or group of
shareholders mentioned in this Article is entitled to access and extract
necessary information under decision of the court or arbitral tribunal before
or during the proceedings.
Article 87. Approving contracts
and transactions between the company and related persons
1. The GMS or Board of Directors
shall approve contracts and transactions between the company and the following
related persons:
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b) Members of the Board of
Directors, the Director or General Director and their related persons;
c) Enterprises that must be
declared by members of the Board of Directors, Controllers, Director or General
Director and other executives as prescribed in Clause 2 Article 84 of this
charter.
2. The Board of Directors shall
approve the contracts and transactions that are mentioned in Clause 1 of this
Article and are worth less than 35% of the company’s total assets according to
the latest financial statements of the company or a smaller ratio or value
specified in the company's charter. In this case, the person that signs the
contract or conducts the transaction on behalf of the company shall send a
notification to the members of the Board of Directors and Controllers of the
related persons together with the draft contract or transaction summary. The
Board of Directors shall decide whether to approve the contract or transaction
within 15 days from the day on which the notification is received, unless a
different deadline is specified in the company's charter. Members of the Board
of Directors that are related to the parties to the contract or transaction
must not vote.
3. The GMS shall approve the
following contracts and transactions:
a) Contracts and transactions other
than those specified in Clause 2 of this Article;
b) Contracts and transactions that
involve borrowing, lending, selling assets that are worth more than 10% of the
company’s total assets according to the latest financial statement between the
company and shareholders that hold at least 51% of the total voting shares or
their related persons.
4. If a contract or transaction
specified in Clause 3 of this Article is approved, the person who concludes the
contract or conducts the transaction on behalf of the company shall send a
notification to the Board of Directors and Controllers of the entities related
to such contract or transaction together with the draft contract or transaction
summary. The Board of Directors shall submit the draft contract or explain the
contract or transaction at the GMS or carry out a questionnaire survey. In
this case, shareholders that are related to the parties to the contract or
transaction must not vote. The contract or transaction shall be approved in
accordance with Clause 1 and Clause 4 Article 71 of this charter, unless
otherwise prescribed by the company's charter.
5. A contract or transaction shall
be invalidated under a court decision and handled as prescribed by law when it
is concluded or carried out against regulations of this Article. The person who
concludes the contract or carries out the transaction, the related
shareholders, members of the Board of Directors, Director or General Director
shall pay compensation for any damage caused and return the benefits generated
by such contract or transaction to the company.
6. The company shall disclose
related contracts and transactions in accordance with relevant laws.
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Article 88. Board of Controllers
1. The Board of Controllers shall
have 3 - 5 Controllers (specific quantity is specified in the company’s
charter). A Controller shall hold a term of office not exceeding 05 years and
may be re-elected without term limit.
2. The Chief Controller shall be
elected by the Board of Controllers among the Controllers. The Chief Controller
shall be elected and dismissed under the majority rule. Rights and obligations
of the Chief Controller shall be specified in the company's charter. More than
half of the Controllers shall have permanent residences in Vietnam.
3. The Chief Controller shall have
a bachelor’s degree in economics, finance, accounting, audit, law, business
administration or a major that is relevant to the company’s business operations,
unless higher standards are prescribed in the company's charter.
4. In case the term of office of
all Controllers expires before an election can be carried out, the existing
Controllers shall keep performing their rights and obligations until
Controllers are elected and take over the job.
Article 89. Rights and
obligations of Board of Controllers
1. Supervise the Board of Directors
and the Director or General Director managing the company.
2. Inspect the rationality,
legitimacy, truthfulness and prudency in business administration; systematic
organization, uniformity and appropriateness of accounting works, statistics
and preparation of financial statements.
3. Validate the adequacy,
legitimacy and truthfulness of the income statements, annual and biannual
financial statements, reports on performance of the Board of Directors; submit
validation reports at the annual GMS. Review contracts and transactions with
related persons subject to approval by the Board of Directors or the GMS and
offer recommendations.
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5. Inspect accounting books,
accounting records, other documents of the company, the company’s
administration where necessary, under resolutions of the GMS or at the request
of the shareholder or group of shareholders specified in Clause 2 Article 10 of
this charter.
6. When requested by the
shareholder or group of shareholders specified in Clause 2 Article 10 of this
charter, the Board of Controllers shall carry out an inspection within 07
working days from the day on which the request is received. Within 15 days
after the end of the inspection, the Board of Controllers shall submit a report
to the Board of Directors or the requesting shareholder or group of
shareholders. The inspection must not obstruct normal operation of the Board of
Directors or interrupt the company’s business operation.
7. Propose changes or improvements
to the company’s organizational structure and administration to the Board of
Directors or the GMS.
8. Promptly submit a written
notification to the Board of Directors whenever a member of the Board of
Directors, the Director or General Director is found to be violating Article 85
of this charter, request the violator to stop the violations and implement
remedial measures.
9. Participate in and discuss at
the GMS, meetings of the Board of Directors and other meetings of the company.
10. Employ independent counsels and
internal audit unit of the company to perform their tasks.
11. The Board of Controllers may
discuss with the Board of Directors before submitting reports and proposals to
the GMS.
12. Other rights and obligations
prescribed by the Law on Enterprises, the company's charter and resolutions of
the GMS.
Article 90. Controllers
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a) He/she is not an entity that is
banned from establishment and management of enterprises as prescribed in the
Law on Enterprises;
b) His/her major is economics,
finance, accounting, audit, law, business administration or a major that is
relevant to the company’s business operation;
c) He/she is not a relative of any
of the members of the Board of Directors, Director or General Director and
other executives;
d) He/she is not the company’s
executive, is not necessarily a shareholder or employee of the company, unless
otherwise prescribed by the company's charter;
dd) Other standards and
requirements are satisfied as prescribed by the Law on Enterprises, relevant laws
and the company's charter.
2. Responsibilities of a
Controller:
a) Comply with regulations of law,
the company's charter, resolutions of the GMS and code of ethics in performance
of their rights and obligations.
b) Perform their rights and
obligations in an honest and prudent manner to serve the best and lawful
interests of the company.
c) Be loyal to the company’s
interests and shareholders; do not abuse their power and position or use the
company’s information, secrets, business opportunities and assets for personal
gain or to serve any other organization’s or individual’s interests;
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3. The Controller that violates
Clause 2 of this Article and causes damage to the company or another person
shall be personally or jointly responsible for such damage. Incomes and other
benefits earned from the violation must be returned to the company.
4. Send a written notification to
the Board of Controllers of violations committed by another Controller and
request the violator to stop the violation and implement remedial measures.
5. The GMS shall dismiss a Controller
from office in the following cases:
a) He/she does not fully satisfy
the standards and requirements specified in this Article;
b) He/she hands in a resignation
which is accepted;
c) Other cases prescribed by the
company's charter.
6. The GMS shall discharge a
Controller in the following cases:
a) He/she fails to perform his/her
tasks;
b) He/she fails to perform his/her
rights and obligations for 06 consecutive months, except in force majeure
events;
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d) Other cases specified in
resolutions of the GMS.
Article 91. Rights to information
of Board of Controllers
1. Documents and information shall
be sent to Controllers in the same manner as those being sent to members of the
Board of Directors, including:
a) Meeting invitations,
questionnaires and enclosed documents;
b) Resolutions, decisions and
minutes of meetings of the Board of Directors and the GMS;
c) Reports of the Director or
General Director to the Board of Directors or other documents issued by the
company.
2. Controllers are entitled to
access the company’s documents at the headquarters, branches and other
locations; enter the executives’ and employees’ workplace during working hours.
3. The Board of Directors, members
of the Board of Directors, the Director or General Director and other
executives shall fully and promptly provide information and documents about the
company’s administration and business as requested by Controllers or the Board
of Controllers.
Article 92. Salaries,
remunerations, bonuses and other benefits of Controllers
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1. Controllers’ salaries,
remunerations, bonuses and other benefits shall be decided by the GMS. The GMS
shall decide total budget for salaries, remunerations, bonuses, other benefits
and annual operating budget of the Board of Controllers;
2. Reasonable costs of food, accommodation,
travel, independent counseling services of Controllers shall be reimbursed. The
total salaries and costs must not exceed the annual operating budget of the
Board of Controllers which has been approved by the GMS, unless otherwise
prescribed by the GMS;
3. Salaries and operating costs of
the Board of Controllers shall be recorded as the company’s expenses in
accordance with regulations of law on corporate income tax and relevant laws
and placed in a separate section in the company’s annual financial statements.
Chapter
IV
OBLIGATIONS
AND LIMITATIONS ON PROFESSIONAL OPERATIONS OF THE FUND MANAGEMENT COMPANY
Article 93. Obligations of the
fund management company
1. The fund management company acts
as an authorized representative and acts on behalf of its trustors to exercise
the rights of ownership of their assets in a truthful and prudent manner.
2. The fund management company
shall promulgate procedures for management of securities investment funds,
procedures for securities portfolio management, procedures for securities
investment consulting and other operational procedures in conformity with the
company’s securities trading operations; internal control procedures; valuation
manual; conditions and procedures for conducting meetings and ratifying
decisions of General Meetings of Investors of funds or General Meetings of
Shareholders of securities investment companies; code of professional ethics
for each working position. With regard to derivative investment trustors, the
procedures for management of securities investment fund must include specific
regulations on principles and methods for using derivatives to prevent risks to
the fund/securities investment company; the procedures for securities portfolio
management must include specific regulations on principles and methods for
using derivatives to prevent risks to underlying securities held by trustors. Such
procedures must be consistently applied during operation of the company.
3. The fund management company must
comply with the code of professional ethics, and act voluntarily, impartially
and truthfully, and in the best interests of its trustors. Provisions on
compliance with the code of professional ethics are compulsory terms of
employment contracts signed between the company and its employees.
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5. When managing trust assets, the
fund management company shall:
a) Use trust assets to make
investments in accordance with regulations of law, charter of securities
investment fund, charter of securities investment company and trust agreement;
b) Enter into depository or
supervisory contracts with depository banks for member funds, private
securities investment companies, and trust portfolios; enter into supervisory
contracts with supervisory banks for public funds or public securities
investment funds;
c) Deposit all assets acquired in
the territory of Vietnam, adequately, punctually and accurately keep
information and data about asset ownership, and retain originals of legal
documents proving asset ownership at the depository bank/supervisory bank.
- In case of investment in
deposits/deposit certificates for trustors: the fund management company shall
only make deposits at credit institutions on the list of credit institutions
approved by the trustor; provide adequate information about deposit contracts
and deposit accounts to the depository bank/supervisory bank so that they can
check balances of deposit accounts or values of deposit contracts with relevant
credit institutions, keep the originals of deposit contracts and provide them
at the request of the depository bank/supervisory bank;
- In case of investment in stakes
in limited liability companies, shares which are not yet listed or registered
for trading or unlisted bonds for trustors: the fund management company must
deposit the originals or valid copies of transaction contracts/receipts or the
original of the shareholder register or member register or asset ownership certificates
at the depository bank/supervisory bank that shall make direct verification
with investment receiving organizations;
d) Develop an information system to
manage trustors’ accounts at the company in a manner that ensures the
independent and separate management of assets of trustors; manage trust assets
separately from the company’s assets; adequately and punctually retain
accounting books, transaction documents and other documents related to
transactions and ownership of assets of trustors; adequately, accurately and
promptly consolidate information about assets of each trustor and depository
where such assets are kept;
dd) Establish a mechanism for
regular verification between three parties in order to ensure the consistency
between data on assets of trustors on the system of trustor accounts managed by
the company, the depository system of trustors’ assets at the depository
bank/supervisory bank with issuers, Vietnam Securities Depository and Clearing
Corporation (VSDCC), the organization managing shareholder register, project
owner, investment receiving organization and deposit receiving organization. The
fund management company shall establish a mechanism that allows the depository
bank/supervisory bank to actively and directly make verification with the
aforesaid organizations in order to inspect and consolidate adequate and
accurate information about depositing, registration and management of trust
assets;
e) Assign at least 02 fund
executives to manage and administer investments of each securities investment
fund and each securities investment company. A fund executive is required to
have the fund management practicing certificate, has at least 02 years’
experience of working in asset management and has not yet faced any
administrative penalties for securities- and securities market-related
offences. In case the securities investment fund or securities investment
company managed by the fund management company invests in derivatives for the
purpose of risk prevention, the fund executive is also required to have
professional certificate in derivatives and derivatives market. Information
about the qualifications, skills and experience in asset management of fund
executives must be specified in the prospectus.
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In case the fund management company
buys or sells the same type of assets for different trustors and itself in the
same day, assets and transactions shall be allocated and conducted in the
following order of priority:
a) Assets shall be allocated to
trustors first. Assets must be impartially allocated to trustors according to
the promulgated asset allocation procedures. When managing investment
portfolios, if transaction prices are not pre-determined by trustors and assets
are bought or sold at different prices, the fund management company shall
allocate assets according to the weighted average price; if transaction prices
are pre-determined by trustors, the fund management company shall allocate
assets according to such pre-determined prices;
b) The company’s transactions shall
be conducted only after trading orders of trustors are met. If the fund
management company knows internal information or believes that trust asset
trading orders may considerably influence the price of a type of assets, the
fund management company is not allowed to conduct transactions in such type of
assets or reveal such asset transactions to a third party;
c) The depository bank/supervisory
bank must be notified of such asset allocation within the same trading day.
7. When conducting asset
transactions for trustors, the fund management company shall comply with the
following provisions:
a) Regarding public funds/public
securities investment companies:
- The value of securities
transactions conducted in the year through brokers of a securities company does
not exceed 50% of total value of securities transactions conducted in the year
of that public fund or public securities investment company;
- The value of securities
transactions conducted in the year through brokers of a securities company that
is a related person of the fund management company does not exceed 20% of total
value of securities transactions conducted in the year of the public fund or
that public securities investment company;
The regulations in this Point shall
not apply to the public fund or public securities investment company whose
operating period counting from the issue date of the certificate of fund
registration or the establishment and operation license to the end of the year
in which that fund or securities investment company is established is less than
06 months, and open-ended bond fund whose total trading value in the year is
less than VND 300 billion;
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8. With regard to the fund
administration and operations of transfer brokers, the fund management company
shall:
a) Determine the NAVs of investment
portfolios of trustors, securities investment companies/funds, NAV per fund
certificate/share of the securities investment company and other fund
administration activities in accordance with regulations on securities
investment funds, charter of the fund, charter of the securities investment
company and trust agreement;
b) Prepare, store and promptly,
adequately and accurately update the investor register/shareholder register. Contents
of the investor register/shareholder register shall comply with relevant
regulations on securities investment funds, the fund’s charter, and charter of
the securities investment company;
c) The fund management company may
authorize the fund administration and operations of transfer brokers. Such
authorization must comply with Article 95 hereof and the fund’s charter and
charter of the securities investment company.
9. When managing investments of a
securities investment company, the fund management company shall:
a) Bear the supervision of the GMS/Board
of Directors of the securities investment company and the supervisory bank and
assume responsibility before the GMS/Board of Directors for performance of
assigned powers and tasks, regulations in the charter of the securities
investment company and the trust agreement;
b) Establish, operate and implement
risk management system/procedures which must be conformable with investment
policies, invested assets and report the risk management to the GMS and Board
of Directors;
c) Make daily
investment/disinvestment decisions of the securities investment company without
obtaining resolutions of the GMS/Board of Directors of the securities
investment company according to its charter and trust agreement;
d) Implement investment
policies/resolutions of the GMS/Board of Directors of the securities investment
company according to the charter of the securities investment company; conduct
asset transactions within the scope of licensed investment limits, asset types,
trading volumes and subjects prescribed in the charter of the securities
investment company and trust agreement;
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e) Sign contracts in the name of
the securities investment company within its competence prescribed in the
charter of the securities investment company and trust agreement;
g) Perform other rights and tasks
in accordance with regulations of law, charter of the securities investment
company, trust agreement and resolutions of the GMS/Board of Directors of the
securities investment company.
10. When managing voluntary pension
funds, the fund management company must comply with regulations on voluntary
pension programs.
11. The fund management company
shall promptly and adequately provide information about trustors, list of trust
assets, trust asset-related transactions, investment-receiving organizations,
related persons of the fund management company and other relevant information
for the depository bank/supervisory bank. The fund management company shall
provide information at the written request of the depository bank/supervisory
bank and facilitate their performance of rights and obligations as prescribed
by law. The fund management company is required to monthly check each trustor’s
list of trust assets with the depository bank/supervisory bank.
12. Within 15 days from the day on
which the supervisory bank detects and notifies the fund management company of
trust asset transactions conducted inconsistent with regulations or beyond the
competence of the fund management company as prescribed in law, the fund’s
charter, the charter of the securities investment company and trust agreement,
the fund management company shall cancel such transactions or conduct
transactions to restore investment portfolios for trustors. In this case, the
fund management company shall incur the costs of these transactions and any
losses. If these transactions generate profits, all profits shall be accounted
for trustors.
13. The fund management company
shall be liable to losses incurred by trustors due to the faults of its
employees, problems or errors of its technical system or business process or
because it fails to fulfill its obligations as prescribed in law, the fund’s
charter, charter of the securities investment company and trust agreement. Compensation
for an open-ended fund and/or its investors shall be made in accordance with
law regulations on securities investment funds and agreements between relevant
parties. Compensation for closed-end funds, member funds, securities investment
companies and other trustors shall be made according to agreements between
relevant parties.
14. The fund management company
shall purchase professional liability insurance for employees of securities
trading departments if necessary or establish the risk management fund which
shall be used for making compensation for trustors in the cases prescribed in
Clause 13 of this Article.
15. The fund management company
must comply with regulations and laws on anti-money laundering in force. The
fund management company shall implement and request its distribution agents to
formulate, promulgate and implement internal regulations on anti-money
laundering.
16. The fund management company
shall implement and request its distribution agents to formulate, promulgate
and implement procedures for identifying clients, verifying and updating
information about clients in accordance with regulations of the Law on
securities, the Law on anti-money laundering and relevant laws. When
identifying clients, the fund management company and its distribution agents
shall decide whether to meet clients in person or not.
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b) The fund management company and
its distribution agents must adequately retain information and data about their
clients in accordance with regulations of the Law on securities, the Law on
anti-money laundering and relevant laws. Client identification information must
be retained, protected and provided at the request of competent authorities;
c) Before identifying clients
without meeting them in person, the fund management company and its
distribution agents must give a notification to SSC.
d) Where necessary, SSC may request
the fund management company and its distribution agents to suspend or terminate
their identification of clients without meeting them in person.
17. The fund management company
must ensure that investments with assets of trustors that are foreigners or
foreign organizations must be made in accordance with law regulations on
foreign exchange management and foreign holdings in Vietnamese enterprises.
18. When making outward investments
with trust assets raised in Vietnam, the fund management company must comply
with regulations of the Law on indirect outward investment, the Law on foreign
exchange management and relevant laws. Such indirect outward investments shall
be made if permitted by the fund’s charter, charter of the securities
investment company and trust agreement.
19. The fund management company
shall keep confidentiality of information about clients, their asset
transactions and investment portfolios, and other relevant information, unless
such information is provided at the request of SSC or competent authorities.
20. The fund management company
shall:
a) Separate its headquarters and
information technology infrastructure with those of other entities. If the fund
management company is using information technology infrastructure of its parent
or subsidiary company or an organization that is its related person, it must
adopt a mechanism for decentralization of powers and information
confidentiality in order to ensure that the parent or subsidiary company or the
organization that is its related person cannot access its computer system and
database;
b) Separate material facilities,
personnel and database among operations with potential conflict of interests in
the company, including the separation between trust asset management,
investment research and analysis, investment execution and securities investment
consulting. The rights to use the computer and database system shall be
decentralized to every individual and every department depending on their
working position according to regulations on internal control;
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21. When making financial
investments with the owner's equity, the fund management company shall:
a) Only use the owner's equity to
make financial investments, and not use loans in any forms;
b) Not use its capital, loans and
other lawful funding sources to make investments in derivatives;
c) Not lend or allocate the
company’s capital to any entities in any forms, except deposits at credit
institutions as prescribed by the Law on banking, investments in deposit
certificates, treasury bills or listed bonds issued in accordance with
regulations of law;
d) Perform economic
contracts/transactions between the company and its related persons after
obtaining approval from the GMS or Board of Directors or Board of Members or
the company’s owner in accordance with the company’s charter and the Law on
enterprises;
dd) Use lawful funding sources,
including loans, to invest in the company’s headquarters. The fund management
company may lease the unused area of its headquarters;
e) The fund management company
shall submit reports to SSC on investments in its subsidiary companies,
joint-venture or affiliated companies and increase/decrease in these
investments within 30 days from the completion of investment procedures, occurrence
of changes in the investment value or disinvestment;
g) The fund management company and
its related persons (excluding related persons that are securities investment
funds or companies it manage) may make an investment of up to 5% of voting
shares of a securities company listed or registered on the Stock Exchange.
22. The fund management company
must obtain an approval from SSC and have the investment limit set by the State
Bank of Vietnam (SBV) before making any indirect outward investments. Indirect
outward investments must comply with Point a Clause 21 of this Article,
regulations of the Law on investment, the Law on banking and the following
rules:
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b) If the investment portfolio of
the fund management company exceeds the prescribed limit due to the price fluctuation
of assets or inheritance of asset-related rights, the fund management company
shall take appropriate corrective measures to ensure its compliance with the
investment limit prescribed in Point a of this Clause within 03 months from the
occurrence of such excess.
23. When providing online
securities trading services, the fund management company and its fund
certificate distribution agents shall comply with law regulations on electronic
securities transactions.
24. When submitting ownership
reports and disclosing information about transactions on securities market, the
fund management company shall:
a) The fund management company and
its trustors must comply with law regulations on ownership reporting and
disclosure of information on securities market by major shareholders of public
companies, investors holding at least 5% of fund certificates of a closed-end
fund, internal actors and their related persons;
b) The obligation to report
ownership and disclose information shall be performed when:
- The quantity of shares/fund
certificates held by the fund management company and its trustors is accounted
for at least 5% of voting shares of a public company or at least 5% of total
fund certificates of a closed-end fund, except trustors that are exchange-traded
funds (ETFs);
- The fund management company is a
related person of an internal actor as prescribed by law, except exchange
transactions of ETFs and periodic portfolio restructuring according to ETF
benchmarks;
- Ownership reporting, information
disclosure, methods and time of disclosing information, ownership report and
information disclosure forms shall comply with law regulations on disclosure of
information on securities market;
c) Perform other obligations to
report ownership and disclose information in accordance with law regulations on
disclosure of information on securities market. In case trust assets are held
in the names of trustors, the trustors shall fulfill the obligation to report
ownership and disclose information as prescribed by law.
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26. The fund management company
shall promptly and adequately update changes in its organizational structure
and operation in the fund management company database managed by SSC.
Article 94. Operational
restrictions imposed on a fund management company and its employees
1. The fund management company must
not be a related person, owner, lender or borrower of the supervisory bank or
depository bank of the securities investment fund or securities investment
company that it manages. Members of the Board of Directors or Board of Members,
internal audit unit, Board of Controllers, company’s president, Executive
Board, and employees of the fund management company are not allowed to work at
departments providing depositing, fund supervision and administration services
at these banks and vice versa.
2. The fund management company and
its related persons may contribute capital and make investments in the
securities investment fund or company that it manages if permitted by the
fund’s charter and charter of the securities investment company, except
unlicensed operations specified in Point b Clause 6 of this Article.
3. The fund management company, its
parent company, subsidiary companies, joint-venture and affiliated companies,
members of the Board of Directors or Board of Members, Board of Controllers,
Executive Board, and employees may be buyers or sellers of trust assets it manages
according to the following rules:
a) Transactions are made according
to the order matching method at Stock Exchanges;
b) Transactions that are not made
according to the order matching method must be approved in writing by trustors
or their representatives. A written approval given by a trustor must specify
the type of traded assets, trading partners or criteria for determining trading
partners, transaction price or rules for determining transaction price, and
time of transaction.
4. Before and after every
securities transaction, members of the Executive Board and employees of the
fund management company must report it to the company’s internal control unit. A
report on personal transaction must specify name of traded securities,
transaction quantity, price, total value, transaction time, trading account
number, and securities company where trading account is opened. Reports on
personal transactions must be kept and managed by the company’s internal
control unit and provided at the request of SSC.
5. Members of the Board of
Directors or Board of Members, Executive Board, and employees of the fund
management company are not allowed to request, claim or receive, whether in
their personal name or in the company’s name, any remunerations, profits or
benefits, except service charges and bonuses specified in Clause 9 of this
Article according to the fund's charter, charter of the securities investment
company and trust agreement.
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a) Not use assets of a securities
investment company or fund to make investments in that securities investment
company or fund;
b) Not use assets of trustors,
securities investment company or fund it manages to make investments in another
securities investment company or fund it manages, unless the trustor decides to
make such investments, the trustor is a foreigner or foreign organization duly
established under the law of a foreign country, a wholly foreign-owned
enterprise, voluntary pension fund and has approved such transactions;
c) Not use assets of a public fund
or public securities investment company to make investments in the fund
management company itself; not make investments in organizations that are its
related persons in case assets of an ETFs are used to invest in securities on
the list of component securities of benchmarks; not make investments in
organizations of which members of the Board of Directors or Board of Members or
Executive Board or employees of the fund management company are shareholders or
own more than 10% of charter capital.
The fund management company may use
capital of member funds, private securities investment companies, assets of
trustors to make investments in the abovementioned organizations if the fund’s
charter, charter of the private securities investment company, trust agreement
or capital contribution agreement allows the fund management company to make
such investments at a suitable service charge and in conformity with Point b of
this Clause;
d) Not lend trust assets in any
forms, or use them as a security for any loans or debts of the fund management
company, its related persons or any other entities. This regulation does not
apply to the trustor that is a foreigner or foreign organization duly
established under the law of a foreign country and has approved the
abovementioned transactions or trustors that are also owners of trust assets;
dd) Use assets of trustors to
invest in derivatives listed at Stock Exchange with the aims of preventing
risks to underlying securities held by trustors. The use of assets of
securities investment companies/funds to invest in derivatives must comply with
law regulations on securities investment funds;
e) Not comment on or guarantee
income or profit on the trustors’ investments and not make no-loss guarantee,
except investment in fixed-income securities; not enter into trust agreements
to make investments in bonds whose interest rate is not conformable with the
actual market status and the company’s investment analysis results; not make
any direct or indirect compensation for partial or entire losses on trustors’
investments;
g) Not conduct transactions to
increase profit of a trustor by reducing profit of another trustor; not enter
into contracts and conduct transactions containing terms and conditions unfavorable
for trustors.
7. The fund management company may
only use the owner's equity and capital of trustors to buy and own (excluding
shares of trustors that are ETFs) at least 25% of voting shares of a public
company, or outstanding fund certificates of a closed-end fund if:
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b) The fund management company
shall perform the tender offer in accordance with regulations on tender offers
laid down in the Law on securities.
8. The fund management company is
not allowed to authorize or hire any organizations in Vietnam to manage securities investment funds, manage securities investment portfolios or provide
securities investment consulting.
9. Except open-end funds, the fund
management company may receive performance bonus as prescribed in the fund’s
charter, charter of the securities investment company and trust agreement. The
performance bonus shall comply with the following rules:
a) It is calculated on the basis of
the annual profit of the securities investment fund or securities investment
company in excess of the reference profit determined according to the market growth
rate, structure of the investment portfolio and other criteria defined in the
fund’s charter, charter of the securities investment company and trust
agreement;
b) It must be used to offset or not
be paid if there are losses on investments in previous years which are not yet
offset.
Article 95. Operational
authorization
1. During its business, the fund
management company shall:
a) Authorize the depository bank,
supervisory bank, and VSDCC to provide fund management services or act as
transfer agent for securities investment funds and securities investment
companies;
b) Authorize foreign organizations
to provide consulting services and manage assets abroad of trustors.
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a) The fund management company is
allowed to give authorization as prescribed in the fund’s charter, charter of
the securities investment company and trust agreement. In case of authorization
prescribed in Point b Clause 1 of this Article, the foreign organization must
be licensed by the foreign securities authority to perform authorized
operations and bear the supervision and inspection of this authority;
b) Information about the attorney,
scope of operations, functions and tasks of the attorney must be specified in
the prospectus and provided for trustors. The General Meeting of Investors of
the securities investment fund, the GMS of the securities investment company,
and trustors are entitled to request the fund management company to replace the
attorney where necessary;
c) The attorney must be capable and
have appropriate system, personnel and experience to perform authorized
operations;
d) The personnel, operational
procedures, reporting and report approving system of the department in charge
of providing relevant authorized services of the authorized party must be
separated from those of its other departments;
dd) The authorized party shall
provide the fund management company with independent audit reports on
authorized operations and documents to serve the inspection by the fund management
company as prescribed;
e) The operational authorization
and authorized parties in Point a Clause 1 of this Article must be specified in
the fund’s charter/charter of securities investment company. The operational
authorization and authorized parties as prescribed in Point b Clause 1 of this
Article must be approved in writing by the General Meeting of Investors of the
securities investment fund, the GMS of the securities investment company, and
trustors.
3. When giving authorization, the
fund management company shall:
a) Before entering into service
contracts with the authorized party, the fund management company must carry out
the due diligence and examine material facilities of such authorized party in
order to ensure that it has adequate material facilities, technical solutions,
operational process, and experienced and qualified personnel for performing
authorized operations;
b) Enter into the authorization
contract with the authorized party. The authorization contract must contain
primary contents as prescribed;
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d) Maintain employees with
experience, qualification and skills appropriate for supervising, identifying
and managing risks arisen from authorized operations;
dd) Establish systems/procedures to
ensure that the fund management company, independent audit organization and SSC
are able to access necessary information for inspecting and supervising
authorized operations, evaluating and managing risks arisen from such
operations at any times;
e) The authorization shall neither
reduce nor change responsibilities of the fund management company towards its
trustors. The fund management company shall accept any financial and legal
liabilities arising from its authorization, except legal liabilities and
service charges/fees which are agreed upon and paid directly to the authorized
party under the trust agreement, supervisory contract or depository contract,
as prescribed in the fund’s charter, charter of the securities investment
company and relevant laws. The fund management company must ensure the
continuity of authorized operations, and avoid causing any interruption and
influence on investments and provision of services to trustors;
g) Provide relevant information to
the authorized party in a sufficient, timely and accurate manner in order that
the authorized party can fully and punctually fulfill its rights and
obligations within the scope of authorization.
h) Adequately, punctually and
accurately keep instructions, requests and documents sent to the authorized
party for performing authorized operations, the authorization contract and
record of assessment of capacity and material facilities of the authorized
part. These documents must be provided at the request of SSC;
i) Within 10 days from the
conclusion of the authorization contract with the authorized party to perform
the authorized operations in Point b Clause 1 of this Article, the fund
management company shall notify SSC of this authorization and provide it with
documents proving the authorized party’s fulfillment of the requirements in
Clause 2 of this Article.
Article 96. Termination of
rights and obligations to trustors, and replacement of the fund management
company
1. The fund management company
shall terminate its rights and obligations to its trustors in the following
cases:
a) The fund management company
voluntarily requests its rights and obligations to its trustors be terminated according
to the fund’s charter, charter of the securities investment company and portfolio
management agreement;
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c) The fund management company has
its securities trading license revoked as prescribed in Article 95 of the Law
on Securities;
d) The fund management company is
re-structured;
dd) The licensed operating duration
of the securities investment fund or company has expired or the portfolio
management agreement ceases to have effect.
2. The fund management company must
hold the General Meeting of Investors of the securities investment fund, the GMS
of the securities investment company, or meeting of trustors to get their
opinions about the asset settlement plan and the substitute fund management
company in the cases specified in Points a, c and d Clause 1 of this Article.
3. The fund management company’s
rights and obligations to its trustors shall be terminated from the time of
completion of registration or transfer of ownership of trust assets, or when
assets, ownership certifications, receipts, books and information about trust
assets, rights and obligations to trustors are fully transferred to the
substitute fund management company. Transfer of assets must be completed within
06 months from the date on which the decision on replacement of the fund
management company is approved by trustor.
4. The replaced fund management
company shall take full responsibility for debts and liabilities to trustors
which are not yet transferred to the substitute fund management company. In
this case, the replaced fund management company shall settle and remedy
consequences that occur within 05 years from the date of completion of transfer
of assets to the substitute fund management company.
Article 97. Rules for dispute
settlement
1. Any disputes between shareholders
or between the company and its trustors must be first settled by negotiation
and reconciliation.
2. In case the parties to the
dispute fail to reach an amicable agreement, the case shall be referred to the
court or another competent authority for consideration. The decision issued by
the court or such competent authority shall be final and binding upon the
parties to the dispute.
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FINANCE
- ACCOUNTING, PROFIT DISTRIBUTION, REPORTING AND DISCLOSURE OF INFORMATION
Article 98. Fiscal year
1. A fiscal year of the company
commences on January 01 and ends on December 31 of the year.
2. The first fiscal year shall
begin on the date of issue of the securities trading license and end on December
31 of the same year.
Article 99. Accounting, audit
and taxation
1. The company shall perform
accounting and statistics tasks, and discharge tax obligations in accordance
with regulations of law in force.
2. Annual financial statements of
the Company and of securities investment funds/companies that it manages must
be audited by the accredited audit organizations before they are submitted to the
GMS or Board of Members or company’s owner and General Meeting of Investors of
the securities investment fund or the GMS of the securities investment company for
consideration and approval.
3. Within 90 days from the end of
the fiscal year, the company’s audited annual financial statements must be sent
to SSC and competent tax authority.
Article 100. Profit distribution
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2. Profits shall be distributed to
shareholders or members of the company according to the following rules:
a) The company has profits and has
fulfilled its tax liabilities and other financial obligations as prescribed by
law;
b) The company is still able to
fully pay due debts and other liabilities after profit is distributed. This
means that the company does not have any outstanding debts and other
liabilities, has no debts refinanced and does not use borrowed funds to pay due
debts and other liabilities;
c) Funds are available at the time
of distribution of profits to shareholders or members, and the profit
distribution shall not affect the company’s business.
3. The Board of Directors or Board
of Members shall consider approving the list of shareholders or members
eligible to receive profits and time of profit distribution.
4. The company may carry forward
any loss it incurs to the following years. Such loss shall be deducted from
taxable income. The company shall comply with the maximum loss carryforward
period prescribed by law.
Article 101. Reporting and
disclosure of information
1. The company shall submit reports
and disclose information about its operations and the securities investment
funds/companies it manages as prescribed by law.
2. The company shall provide
information for investors in accordance with regulations of law and this
Charter. The fund management company must adequately retain the following
documents at its headquarters, representative offices, branches, distribution
agents and on its website, and provide them free of charge at the request of
investors, including:
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b) Audited annual financial
statements of the securities investment fund or company in at least the last 05
years; semi-annual financial statements and quarterly financial statements of
the securities investment fund or company;
c) Periodical operational reports
of the securities investment fund or company prepared according to regulations
on securities investment funds in at least the last 05 years;
d) Reports on NAV of the securities
investment fund or company prepared according to regulations on securities
investment funds.
Chapter
VI
DISSOLUTION,
BANKRUPTCY AND REORGANIZATION OF THE COMPANY
Article 102. Dissolution of Company
1. The Company shall be dissolved
in the following cases:
a) The operating period specified
in the Company’s Charter expires without an extension decision;
b) The Company is dissolved under a
decision of the GMS or Board of Members or Company’s owner;
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2. The Company may only be
dissolved after all of its debts and liabilities are fully paid. In case of
insolvency, the dissolution shall be carried out in accordance with regulations
of the Law on Bankruptcy.
3. From the day on which SSC gives its
approval for the dissolution, the owner or Board of Members or Board of
Directors shall not perform any prohibited acts as prescribed by law
regulations on dissolution of enterprises, and shall directly organize the
liquidation of the Company’s assets, unless otherwise prescribed by the
Company’s Charter.
Article 103. Bankruptcy of the
Company
The Law on Bankruptcy and its
guiding documents shall apply to the bankruptcy of the Company.
Article 104. Reorganization of
the Company
1. The fund management company
shall be reorganized in accordance with regulations of the Law on Securities
and the Law on Enterprises.
2. During the consolidation or
merger, the Company, its Board of Directors or Board of Members, Board of
Controllers and Executive Board shall:
a) Ensure the safety of its assets,
not hide or liquidate its assets in any forms and assume legal responsibility
for issues which are not recorded and handed over;
b) The companies involved in the
reorganization shall be entitled to and responsible for their rights, benefits
and obligations until the company established after reorganization is issued
with a new or modified securities trading license;
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3. Any shareholder objecting the
reorganization is entitled to request the fund management company to repurchase
its shares. Creditors are entitled to request the fund management company to
pay loans when undergoing reorganization. The abovementioned requests shall be made
in accordance with regulations of the Law on enterprises.
Chapter
VII
IMPLEMENTATION
CLAUSE
Article 105. Revisions to the
Charter
1. Any revisions to this Charter
shall be decided by the GMS or Board of Members or Company’s owner. Such
revisions to the Charter must be reported to SSC.
2. If there are any regulations of
law relating the Company's operations which are not referred to in this Charter
or new regulations of law which are contrary to the provisions of this Charter,
such regulations shall prevail.
Article 106. Effect
1. This Charter includes …….
Chapters and …… Articles which have been ratified by the GMS or Board of
Members or Company’s owner on……………[date] that has also approved the full text
of this Charter.
2. This Charter is made into……originals
of the same legal effect, including:
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The Company's Charter upon
establishment and the revised Company's Charter must bear full names and
signatures of competent persons as prescribed by the Law on Enterprises./.