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MINISTRY OF
FINANCE
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SOCIALIST
REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
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No.
125/2018/TT-BTC
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Hanoi, December
24, 2018
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CIRCULAR
PRESCRIBING
INSURANCE AGENT CERTIFICATION
Pursuant to the Law on Insurance Business No.
24/2000/QH10 dated December 9, 2000;
Pursuant to the Law on Amendments and
Supplements to the Law on Insurance Business No. 61/2010/QH12 dated November
24, 2010;
Pursuant to the Government’s Decree No. 73/2016/ND-CP
dated July 1, 2016 elaborating on implementation of the Law on Insurance
Business and the Law on Amendments and Supplements to certain Articles of the
Law on Insurance Business;
Pursuant to the Government's Decree No.
87/2017/ND-CP dated July 26, 2017 defining the functions, tasks, powers and
organizational structure of the Ministry of Finance;
Upon the request of the Director of the
Department of Insurance Management and Supervision,
The Minister of Finance hereby promulgates the
Circular prescribing insurance agent certification.
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This Circular provides for insurance agent
certification procedures, including holding tests for insurance agent
certificates; conferring and withdrawing insurance agent certificates; rights
and obligations of organizations and individuals involved in insurance agent
certification.
Article 2. Subjects of
application
This Circular shall apply to the followings:
1. Department of Insurance Management and
Supervision (Ministry of Finance);
2. Insurance agent training establishments
(hereinafter referred to as training establishment);
3. Individuals taking tests for insurance agent
certificates (hereinafter referred to as examinee);
4. Other organizations and individuals related to
holding of tests for and conferral of insurance agent certificates.
Article 3. Plans for tests for
insurance agent certificates
1. Ahead of the 25th day of each month,
training establishments shall register the plans to hold tests for insurance
agent certificates in the successive month with the Department of Insurance
Management and Supervision (via the System of Management of Tests for Insurance
Agent Certificates) by using the form prescribed in the Appendix No. 1 hereto
(the initial plans).
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2. Based on the plans submitted by training
establishments, the Department of Insurance Management and Supervision shall
inform them of plans to hold tests prior to the 1st day of the
successive month (applicable to the initial plans) or at least 02 days before
the test date (applicable to the supplementary plans).
3. In case where, after receipt of the notification
of plans to hold tests as stated in clause 2 of this Article, training
establishments wish to make any change in the plans to hold tests, such as test
venue (with respect to locations specified in point b of clause 2 of Article 5
herein), test time, or the number of examinees attending and quitting tests,
they must inform the Department of Insurance Management and Supervision (via
the System of Management of Tests for Insurance Agent Certificates) at least 01
working day before the test date.
Article 4. Test design
1. Questions in each test for insurance agent
certificates shall be issued by the Department of Insurance Management and
Supervision. Each test shall be designed in a form of multiple-choice
questions, and shall be composed of 75% of questions relating to general
insurance knowledge and 25% of questions relating to insurance products.
2. Questions in tests for insurance agent
certificates shall be based on insurance agent training programs specified in
Article 88 of the Government’s Decree No. 73/2016/ND-CP dated July 1, 2016
elaborating on the implementation of the Law on Insurance Business and the Law
on Amendments and Supplements to certain Articles of the Law on Insurance
Business (hereinafter referred to as Decree No. 73/2016/ND-CP).
Article 5. Test organization
1. Tests for insurance agent certificates shall be
held in either online or writing form.
2. Test venue:
Tests for insurance agent certificates shall take
place at the following locations:
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b) Test venues outside of cities and provinces
referred to in point a of clause 2 of this Article must be registered by
training establishments.
3. Responsibilities for organizing tests:
a) If tests are held at venues specified in point a
of clause 2 of this Article, the Department of Insurance Management and Supervision
shall be responsible for organizing tests in accordance with clause 5 of
Article 10 herein.
b) If tests are held at venues specified in point b
of clause 2 of this Article, training establishments shall be responsible for
organizing tests in accordance with clause 3 of Article 11 herein.
c) Proctors and examiners shall implement
responsibilities specified in clause 2 and 3 of Article 12 herein.
4. 01 working day before the test date, training
establishments shall give the updated list of examinees in each test on the
System of Management of Tests for Insurance Agent Certificates by using the
form given in the Appendix No. 2 hereto. Examinees already completing insurance
agent training programs shall attend tests according to the list published by
training establishments where they have been trained.
Article 6. Approval of exam
results
1. Within the duration of 05 working days from the
test date, training establishments must send reports on scores of tests in a
writing form held at venues specified in point b of clause 2 of Article 5
herein to the Department of Insurance Management and Supervision (via the
System of Management of Tests for Insurance Agent Certificates) by using the
form given in the Appendix No. 3 hereto. Training establishments shall bear
responsibility for accuracy and authenticity of report data. Training
establishments shall have the burden of keeping custody of original copies of
answer sheets at their facilities.
2. The Department of Insurance Management and
Supervision shall issue the Decision on approval of results of tests for
insurance agent certificates within the duration of 05 working days after the
test date (with respect to tests referred to in point a of clause 2 of Article
5 herein), or within the duration of 03 working days after receipt of exam
results on the System of Management of Tests for Insurance Agent Certificates
(with respect to tests held at venues specified in point b of clause 2 of
Article 5 herein). Examinees who gain at least 75% of total score of a test
shall be recognized as those passing tests for insurance agent certificates.
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1. Examinees shall have the right to apply for the
second marking. Application for second marking shall be sent to the Department
of Insurance Management and Supervision by using the form given in the Appendix
No. 4 hereto within the duration of 20 days after the date on which the
Department of Insurance Management and Supervision grants approval of exam
results.
2. The Department of Insurance Management and
Supervision shall carry out the second marking and respond in writing to
examinees within the duration of 05 working days after the date on which the
Department of Insurance Management and Supervision receives the examinee’s
application for the second marking.
3. Based on the second marking results, the
Department of Insurance Management and Supervision may send training
establishments written notifications of adjustments in exam results (if any) in
order to confer or take back insurance agent certificates as provided herein.
Article 8. Conferral of
insurance agent certificates
1. Examinees shall be awarded insurance agent
certificates after passing tests as provided herein.
2. Based on the Decision on approval of exam
results from the Department of Insurance Management and Supervision, within the
duration of 10 days of receipt of approval of exam results from the Department
of Insurance Management and Supervision, training establishments shall inform
exam results to examinees and grant insurance agent certificates to examinees
passing tests for insurance agent certificates. Insurance agent certificates
shall be awarded according to the form given in the Appendix No. 5 hereto.
Article 9. Withdrawal and
reissuance of insurance agent certificates
1. Training establishments shall be required to
withdraw and reissue insurance agent certificates that they have already
granted in the cases specified in clause 2 of this Article.
2. Cases of withdrawal and reissuance of insurance
agent certificates shall be regulated as follows:
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- Individuals have not attended tests for insurance
agent certificates organized by the Ministry of Finance;
- Examinees have not passed tests for insurance
agent certificates as provided herein;
- Examinees use fraudulent personal identity papers
(including citizen ID/ID card/Passport) or other persons’ personal identity
papers to be eligible for taking tests for insurance agent certificates;
- Examinees have been trained during the validity
period of suspension of the training establishments where they are trained
according to the decisions of competent authorities on penalties for
administrative violations arising in the insurance business sector.
b) Insurance agent certificates may be reissued as
long as one of the holder’s following personal information is false and
erroneous:
- Last name/Middle name/First name;
- Birth date (mm/dd/yyyy);
- Citizen ID card/ID card/Passport number;
- Date of issue of Citizen ID card/ID card/Passport
number.
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Article 10. Responsibilities
of the Department of Insurance Management and Supervision
1. Build the system for management of tests for
insurance agent certificates.
2. Promulgate test rules and regulations.
3. Design tests in accordance with this Circular.
4. Inform the followings to insurance agent
training establishments:
a) Venues and schedules of tests for insurance
agent certificates in cities or provinces prior to October 31 each year.
b) Plans to hold tests for insurance agent
certificates on a monthly basis in accordance with this Circular.
5. With respect to test organization activities,
make necessary arrangements in terms of test rooms, assign proctors and
examiners (with respect to tests held at venues specified in point a of clause
2 of Article 5 herein). Inspect and oversee the organization of tests and the
audit of exam results (with respect to tests held at venues specified in point
b of clause 2 of Article 5 herein).
6. Approve exam results and organize the second
marking.
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Article 11. Responsibilities
of training establishments
1. Update the Department of Insurance Management
and Supervision on contact details of the designated main contact person of
each training establishment who is in charge of dealing with issues arising in
organization of tests for insurance agent certificates.
2. Register plans to hold tests, submit updated
lists of examinees as provided in clause 1 and 3 of Article 3 and clause 4 of
Article 5 herein.
3. Hold tests (with respect to tests held at venues
specified in point b of clause 2 of Article 5 herein) in accordance with the
following regulations:
a) Provide facilities and rooms necessary for tests
to be held. As for online tests, each test room must be equipped with the
minimum number of computers which is equal to 25% of total examinee, in good
condition, connects to internet, and transfers data through high-speed
transmission lines, in order to ensure online tests are held successfully.
b) Assign proctors and examiners.
c) Bear responsibility for protecting
confidentiality of test question and answer sheets from the time of receipt thereof
and after tests are finished. Have the burden of complying with rules and
regulations during tests.
d) Report on exam results as provided in clause 1
of Article 6 herein.
4. Pay test fees on behalf of examinees according
to the Ministry of Finance’s directives.
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6. In case where training establishments fail to
comply with this Circular,
a) Training establishments shall be subject to
administrative penalties according to regulations on administrative penalties
arising in the insurance business sector.
b) Training establishments shall not be allowed to
hold tests for insurance agent certificates for the maximum period of 03
months. This regulation shall be applied only if training establishments fail
to comply with regulations on registration of plans to hold and organize tests
for insurance agent certificates.
Article 12. Responsibilities
of examinees, proctors and examiners
1. Responsibilities of examinees:
Comply with Regulations on tests for insurance
agent certificates promulgated by the Ministry of Finance (the Department of
Insurance Management and Supervision).
2. Responsibilities of proctors:
a) Protect confidentiality of test questions from
the time of receipt thereof and after tests are finished.
b) Observe test sessions according to Regulations
on tests for insurance agent certificates promulgated by the Ministry of
Finance (the Department of Insurance Management and Supervision).
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a) Mark test answer sheets based on provided test
answers.
b) Avoid correcting, altering or changing exam
results.
c) Prepare exam result reports.
Article 13. Transitional
provision
Insurance agent certificates which are conferred
before July 1, 2019 shall remain valid for use and shall not need to be
reissued as provided herein.
Article 14. Entry into force
1. This Circular shall enter into force from March
1, 2019.
2. The sample insurance agent certificate given in
the Appendix No. 5 hereof shall replace the sample one in the Appendix No. 13
of the Circular No. 50/2017/TT-BTC dated May 15, 2017 of the Ministry of
Finance providing guidance on implementation of the Decree No. 73/2016/ND-CP.
By July 1, 2019 at the latest, training establishments shall be obliged to
implement provisions of this Circular.
3. In the course of implementation, if there is any
difficulty arising, the Ministry of Finance should be promptly informed to
consider taking possible actions./.
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PP. MINISTER
DEPUTY MINISTER
Huynh Quang Hai