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MINISTRY OF
FINANCE
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SOCIALIST
REPUBLIC OF VIETNAM
Independence – Freedom – Happiness
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No.:
35/2019/TT-BTC
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Hanoi, June 12,
2019
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CIRCULAR
AMENDMENTS
TO THE CIRCULAR NO. 115/2017/TT-BTC DATED OCTOBER 25, 2017 PROVIDING GUIDELINES
FOR SUPERVISION OF SECURITIES TRANSACTIONS ON SECURITIES MARKET AND THE
CIRCULAR NO. 116/2017/TT-BTC DATED OCTOBER 25, 2017 PROVIDING GUIDELINES FOR
SUPERVISION OF SECURITIES OPERATIONS OF STOCK EXCHANGES AND VIETNAM SECURITIES
DEPOSITORY BY THE STATE SECURITIES COMMISSION OF VIETNAM
Pursuant to the Law on securities dated June 29,
2006;
Pursuant to the Law on amendments to the Law on
securities dated November 24, 2010;
Pursuant to the Government’s Decree No.
58/2012/ND-CP dated July 20, 2012 elaborating and guiding the implementation of
the Law on securities and the Law on amendments to the Law on securities;
Pursuant to the Government’s Decree No.
60/2015/ND-CP dated June 26, 2015 on amendments to the Government’s Decree No.
58/2012/ND-CP dated July 20, 2012 elaborating and guiding the implementation of
the Law on securities and the Law on amendments to the Law on securities;
Pursuant to the Government’s Decree
No. 42/2015/ND-CP dated May 05, 2015 on derivatives and derivative market;
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;
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The Minister of Finance promulgates a Circular
providing amendments to the Circular No. 115/2017/TT-BTC dated October 25, 2017
providing guidelines for supervision of securities transactions on securities
market and the Circular No. 116/2017/TT-BTC dated October 25, 2017 providing
guidelines for supervision of securities operations of Stock Exchanges and
Vietnam Securities Depository (VSD) by the State Securities Commission of
Vietnam (SSC).
Article 1. Amendments to the
said Circular No. 115/2017/TT-BTC dated October 25, 2017 of the Minister of
Finance
1. Clause 11 Article 4 is
amended as follows:
“11. SSC shall, at the request of the Ministry of
Finance, submit reports on supervision of securities transactions to the
Ministry of Finance.”
2. Clause 1 Article 13 is
amended as follows:
“1. Within 02 first business days of the following
week, the Stock Exchange shall submit reports on supervision of weekly
transactions, including:
a) Order book, results of daily securities
transactions; periodically published information in the trading day as
regulated in Clause 2 Article 33 of the Circular No. 155/2015/TT-BTC dated
October 06, 2015 of the Minister of Finance providing for information
disclosure on securities market, using the form No. 01 provided in the Appendix
I enclosed herewith, except information relating to the open interest of
derivatives;
b) Results of supervision of weekly securities
transactions and information relating to weights of component stocks in the
Basket for the purposes of consolidation and evaluation of market development
according to form No. 02 provided in the Appendix I enclosed herewith.”
3 . Form No. 02 – Weekly
report is provided in the Appendix I enclosed with this Circular and supersedes
the Form No. 02 provided in the Appendix I enclosed with the Circular No.
115/2017/TT-BTC dated October 25, 2017.
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“Article 21. Periodical supervision reports
1. Not later than 16:30 PM in
the trading day, VSD shall submit report on the ending open interest of
derivatives to SSC.
2. Within 10 first business
days of the following month, VSD shall submit the following monthly reports to
SSC, including:
- Report on actions against
violations committed by clearing members (Form No. 06 provided in Appendix II).
- Report on support for
clearing members facing incapability of fulfilling settlement obligations (Form
No. 07 provided in Appendix II).
3. Periodical reports
mentioned in this Article shall be submitted as follows:
- Information relating to open
interest as prescribed in Clause 1 of this Article shall be electronically
submitted.
- Periodical reports
prescribed in Clause 2 of this Article shall be prepared in both paper and
electronic formats (with using e-signatures).”
Article 2. Amendments to the
Circular No. 116/2017/TT-BTC dated October 25, 2017 of the Minister of Finance
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“Article 10. Reporting by SSC
SSC shall, at the request of the Ministry of Finance,
submit reports on results of supervision of compliance with provisions in
Chapter II and Chapter III of this Circular to the Ministry of Finance.”
2. The line “các trường hợp
khác” (“other cases”) shall be added to table 4.2 on processing of applications
for transfer of securities ownership outside the trading system of the Stock
Exchange provided in Appendix No. II enclosed with the Circular No.
116/2017/TT-BTC.
3. Column 9 “tổng số hồ sơ
chưa giải quyết xong trong kỳ báo cáo” (“total applications pending processing
in reporting period”) shall be added to table 4.3 on applications for right
information registration provided in Appendix No. II enclosed with the Circular
No. 116/2017/TT-BTC.
Article 3. Effect
1. This Circular comes into
force from August 01, 2019.
2. Difficulties that arise
during the implementation of this Circular should be reported to the Ministry
of Finance for consideration./.
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