MINISTRY OF FINANCE
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SOCIALIST REPUBLIC OF VIET NAM
Independence-Freedom-Happiness
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No.:
73/2020/TT-BTC
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Hanoi,
August 07, 2020
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CIRCULAR
AMENDMENTS
TO CIRCULAR NO. 134/2017/TT-BTC DATED DECEMBER 19, 2017 OF MINISTER OF FINANCE
PROVIDING GUIDELINES FOR E-TRANSACTIONS ON SECURITIES MARKET
Pursuant to the Law on
Securities dated June 29, 2006; the Law on amendments to the Law on Securities
dated November 24, 2010;
Pursuant to the Law on
Electronic Transactions dated November 29, 2005;
Pursuant to the Law on
Information Technology dated June 29, 2006;
Pursuant to the Law on
Cyberinformation Security dated November 19, 2015;
Pursuant to the Government's
Decree No. 165/2018/ND-CP dated December 24, 2018 on e-transactions in
financial operations;
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
promulgate a Circular providing amendments to Circular No. 134/2017/TT-BTC
dated December 19, 2017 of the Minister of Finance providing guidelines for
e-transactions on securities market.
Article 1. Amendments to Circular No. 134/2017/TT-BTC dated December 19, 2017
of Minister of Finance providing guidelines for e-transactions on securities
market
1. Clause 7 Article 3 is amended and Clause 14 is added to Article 3 as
follows:
“7. “identity of an order
placement device” means the information associated to each device to
identify that device when it is used for conducting online securities
transactions.
14. “time of transaction” means
the time that the investor logs in to the online securities trading system and
executes online securities transaction orders.”
2. Point dd and Point e Clause 1 Article 6 are amended as follows:
“dd) The online securities trading
system must be integrated with solutions whereby investors can use digital
certificates or digital signatures of public certification authorities when
executing online securities transaction orders. It may be also integrated with
other solutions prescribed in Point a and Point c Clause 1 Article 8 of this
Circular. Application of digital certificates and digital signatures to
investors’ securities transactions shall comply with specific guidelines given
by the State Securities Commission of Vietnam;
e) When rendering transaction
services via telephone, the telephone exchange or another device with call
recording, management and search functions must be equipped. Any calls
for placing orders of investors must be recorded and stored in a manner that
ensures information and data security;”
3. Clause 2 Article 8 is amended and Clause 4 is added to Article 8 as
follows:
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4. Investors are required to carry
out authentication as prescribed in this Article whenever they conduct online
securities transactions.”
4. Clause 1 and Clause 3 Article 9 are amended as follows:
“1. An electronic order shall,
inter alia, include the following information: Number and type of order,
number of the account whose holder places the order, transaction method, ticker
symbol or name of security, quantity and transaction price, transaction date
and time, identity of order placement device.
3. An electronic order must bear a
digital signature or logically associated or combined with the investor’s
identity as prescribed in Article 8 hereof and comply with legislative
documents on e-transactions.”
Article 2. Implementation
1. This Circular comes into force
from October 01, 2020.
2. The State Securities Commission
of Vietnam, Stock Exchange, Vietnam Securities Depository and organizations and
individuals conducting e-transactions on securities market are responsible for
the implementation of this Circular./.
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