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MINISTRY OF
FINANCE
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SOCIALIST
REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
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No. 91/2019/TT-BTC
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Hanoi, December
31, 2019
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CIRCULAR
AMENDMENTS
AND SUPPLEMENTS TO SEVERAL CIRCULARS ON REPORTING REGULATIONS AND
ADMINISTRATIVE PROCEDURES APPLIED TO FUND MANAGEMENT COMPANIES, SECURITIES
INVESTMENT TRUSTS AND INVESTMENT COMPANIES
Pursuant to the Law on Securities dated June 29,
2006;
Pursuant to the Law on Amendments and
Supplements to the Law on Securities dated November 24, 2010;
Pursuant to the Government’s Decree No.
58/2012/ND-CP dated July 20, 2012, detailing and guiding the implementation of
a number of articles of the Law on Securities and the Law on Amendments and
Supplements to a number of articles of the Law on Securities;
Pursuant to the Government’s Decree No.
60/2015/ND-CP dated June 26, 2015 on amendments and supplements to the
Government’s Decree No. 58/2012/ND-CP dated July 20, 2012, elaborating and
providing instructions on several articles of the Law on Securities and the Law
on Amendments and Supplements to the Law on Securities;
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 President of the State
Securities Commission;
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Article 1. Amendments and
supplements to several articles of the Circular No. 212/2012/TT-BTC dated
December 5, 2012 of the Ministry of Finance, providing instructions about
establishment, organization and operation of fund management companies
(hereinafter referred to as Circular No. 212/2012/TT-BTC), including:
1. Clause 2 of Article 2 shall be amended as
follows:
“2. Valid copy means a copy issued as an
extract from a master document, a copy certified by a competent authority or
body, or a copy proven identical to the primary document."
2. Clause 7 of Article 2 shall be amended as
follows:
“7. Personal documentation include an
information sheet designed by using the form given in the Appendix No. 03 to
this Circular, a valid copy of 9- or 12-digit ID card, passport or other
legitimate personal credentials.
3. Clause 5 of Article 10 shall be amended as
follows:
“5. Within 90 days after the financial year ends,
fund management companies must prepare their internal audit reports for
submission to the State Securities Commission. These reports must clarify
potential risks arising from their business, management of investor’s assets
held in trust, inspection and oversight activities carried out at specific
units, departments or licensed operations. They must communicate the
results of internal audit engagements, clarifying internal audit opinions,
conclusions and bases for forming auditor’s opinions; auditee’s explanations;
remedial and disciplinary actions (if any)."
4. Appendix No. 01 pertaining to the sample
operating report of fund management company, replacing the Appendix No. 09 to
the Circular No. 212/2012/TT-BTC, shall be enclosed herewith.
5. Appendix No. 02 pertaining to the sample
investment portfolio management report, replacing the Appendix No. 10 to the
Circular No. 212/2012/TT-BTC, shall be enclosed herewith.
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Article 2. Amendments,
supplements or abolishment of several articles of the Circular No.
183/2011/TT-BTC dated December 16, 2011 of the Ministry of Finance, providing
instructions about establishment and management of open-end funds (hereinafter
referred to as Circular No.183/2011/TT-BTC), including:
1. Clause 8 of Article 2 shall be amended as
follows:
“8. Personal documentation include an
information sheet designed by using the form given in the Appendix No. 07 to
this Circular, a valid copy of 9- or 12-digit ID card, passport or other
legitimate personal credentials.
2. Clause 31 shall be added to Article 2 as
follows:
“31. Valid copy means a copy issued as an
extract from a master document, a copy certified by a competent authority or
body, or a copy proven identical to the primary document."
3. The phrase “authenticated copy” at point c of
clause 3 of Article 39 in the Circular No. 183/2011/TT-BTC shall be replaced by
the phrase “valid copy”.
4. Point d of clause 3 of Article 39 shall be
amended as follows:
“d) Interpretation of technical facilities and
personnel at places of distribution of fund units shall be made in accordance
with the sample given in the Appendix No. 08 hereto; the list of staff members
holding stock broker certificates and personal documentation prescribed in
clause 8 of Article 2 in this Circular;”
5. Point a of clause 1 of Article 45 shall be
amended as follows:
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6. Appendix No. 03 pertaining to the sample report
on investments of the open-end investment trust, replacing the Appendix No. 31
and 34 to the Circular No.183/2011/TT-BTC, shall be enclosed herewith.
7. Point c and d of clause 1 of Article 45 shall be
abolished.
Article 3. Amendments to
several articles of the Circular No. 224/2012/TT-BTC dated December 26, 2012 of
the Ministry of Finance, providing instructions about establishment and management
of closed-end or private mutual funds (hereinafter referred to as Circular No.
224/2012/TT-BTC), including:
1. Clause 1 of Article 2 shall be amended as
follows:
“1. Valid copy means a copy issued as an
extract from a master document, a copy certified by a competent authority or
body, or a copy proven identical to the primary document."
2. Clause 5 of Article 2 shall be amended as
follows:
“5. Personal documentation include an
information sheet designed by using the form given in the Appendix No. 19 to
this Circular, a valid copy of 9- or 12-digit ID card, passport or other
legitimate personal credentials.”
3. The phrase “certified copy” at point dd of
clause 3 of Article 21 in the Circular No. 224/2012/TT-BTC shall be replaced by
the phrase “valid copy”.
4. Appendix No. 04 pertaining to the sample report
on investments of the closed-end investment trust or the private mutual fund,
replacing the Appendix No.17 to the Circular No.224/2012/TT-BTC, shall be
enclosed herewith.
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1. Clause 3 of Article 2 shall be amended as
follows:
“3. Personal documentation include an
information sheet designed by using the form given in the Appendix No. 21 to this
Circular, a valid copy of 9- or 12-digit ID card, passport or other legitimate
personal credentials.”
2. Clause 9 shall be added to Article 2 as follows:
“9. Valid copy means a copy issued as an
extract from a master document, a copy certified by a competent authority or
body, or a copy proven identical to the primary document."
3. Appendix No. 05 pertaining to the sample report
on investments of the investment company, replacing the Appendix No. 18 to the
Circular No. 227/2012/TT-BTC, shall be enclosed herewith.
Article 5. Amendments and
supplements to several articles of the Circular No. 228/2012/TT-BTC dated
December 27, 2012 of the Ministry of Finance, providing instructions about
establishment and management of real estate investment trusts (hereinafter
referred to as Circular No.228/2012/TT-BTC), including:
1. Clause 4 of Article 2 shall be amended as
follows:
“4. Personal documentation include an
information sheet designed by using the form given in the Appendix No. 09 to
this Circular, a valid copy of 9- or 12-digit ID card, passport or other
legitimate personal credentials.
2. Clause 16 shall be added to Article 2 as
follows:
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3. Appendix No. 06 pertaining to the sample report
on investments of the real estate investment trust or the real estate
securities investment company, replacing the Appendix No. 22 to the Circular
No. 228/2012/TT-BTC, shall be enclosed herewith.
Article 6. Amendments,
supplements to, and abolishment of, several articles of the Circular No.
229/2012/TT-BTC dated December 27, 2012 of the Ministry of Finance, providing
instructions about establishment and management of exchange traded funds
(hereinafter referred to as Circular No. 229/2012/TT-BTC), including:
1. Clause 8 of Article 2 shall be amended as
follows:
“8. Personal documentation include an
information sheet designed by using the form given in the Appendix No. 12 to
this Circular, a valid copy of 9- or 12-digit ID card, passport or other
legitimate personal credentials.
2. Clause 23 shall be added to Article 2 as
follows:
“23. Valid copy means a copy issued as an
extract from a master document, a copy certified by a competent authority or
body, or a copy proven identical to the primary document."
3. Point d of clause 3 of Article 24 shall be
amended as follows:
“b) Monthly, quarterly or annual report on
investments of the exchange traded fund (ETF) made by using the sample report
given in the Appendix No. 18 hereto”
4. Appendix No. 07 pertaining to the sample report
on investments of the ETF, replacing the Appendix No. 18 and 19 to the Circular
No. 229/2012/TT-BTC, shall be enclosed herewith.
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Article 7. Amendments to and
abolishment of several Articles of the Circular No. 105/2016/TT-BTC dated June
29, 2016 of the Ministry of Finance, providing instructions about foreign
indirect investments of securities trading organizations, securities investment
trusts, securities investment companies and insurance companies (hereinafter
referred to as Circular No. 105/2016/TT-BTC), including:
1. Point d of clause 5 of Article 5 shall be
amended as follows:
“d) Securities trading organizations shall submit
monthly reports on the progress of finalization of investments awaiting
complete finalization to the State Securities Commission until these
investments are completely finalized. Securities companies shall make
these reports by using the sample report given in Appendix No. 09 hereto. Fund
management companies shall make these reports by using the sample operating
report of the fund management company in accordance with laws on establishment,
organization and operation of fund management companies.”
2. Point d of clause 5 of Article 7 shall be
amended as follows:
“d) With respect to investments not yet finalized completely,
fund management companies, private securities investment companies that manage
funds on their own shall submit monthly reports on the progress of finalization
of foreign indirect investments of securities investment trusts and securities
investment companies to the State Securities Commission by using the sample
report on investments of the securities investment trust and the securities
investment company prescribed in laws on establishment and management of
securities investment trusts, and laws on establishment, organization,
operation and management of securities investment companies until investments
are finalized completely.
3. Point dd of clause 5 of Article 11 shall be
amended as follows:
“dd) As for investment fiduciary agreements awaiting
complete liquidation or termination, fund management companies shall submit
monthly reports on the progress of settlement to the State Securities
Commission by using the sample portfolio management report prescribed in laws
on establishment, organization and operation of fund management companies until
these agreements are completely liquidated or terminated.”
4. Point b of clause 2 of Article 19, and point b
of clause 3 of Article 19, Appendix No. 10; Appendix No. 11, 12 and 13 to the
Circular No. 105/2016/TT-BTC shall be repealed.
Article 8. Entry into force
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2. The State Securities Commission, securities companies,
fund management companies, supervisory banks, depository banks, other entities
and persons concerned shall be responsible for enforcing this Circular./.
PP. MINISTER
DEPUTY MINISTER
Huynh Quang Hai
APPENDIX
01
(Replacing the
Appendix 09 to the Circular No. 212/2012/TT-BTC dated December 5, 2012 of the
Minister of Finance, providing instructions about establishment, organization
and operating of fund management companies)
Sample operating report designed for fund management
companies
(To the Circular
No. 91/2019/TT-BTC dated December 31, 2019 of the Minister of Finance,
prescribing amendments and supplements to several circulars on reporting
regulations and administrative procedures applied to fund management companies,
securities investment trusts and investment companies)
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SOCIALIST
REPUBLIC OF VIETNAM
Independence - Freedom -
Happiness
---------------
No.: ……..
……, date
(dd/mm/yyyy) …
SAMPLE OPERATING REPORT
OF FUND MANAGEMENT COMPANY
(Made on a
Monthly/Quarterly/Annual basis)
Dear State
Securities Commission
I. Information about the fund management
company’s business
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No.
Description
Investment trusts with legal person
status
Investment trusts without legal person
status
Total
Amount accumulated from beginning of
reporting year
Public investment company
Private investment company
Real estate investment company
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Open-end fund
Real estate investment trust
ETF
Private mutual fund
(1)
(2)
(3)
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(5)= (3)+(4)
1
Quantity
of investment trusts under management
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2
Total
capital
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3
Total
net asset value
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4
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Management
fee
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Ratio
of management fee to net asset value (%)
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Bonus
(if any)
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Redemption
charge
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2. Investment portfolio management
No.
Quantity of portfolio management agreements remaining
valid
Quantity of portfolio management agreements
Total contract value
Management fee
With domestic investors
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With individuals
With entities
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1
Aggregate
With foreign investors
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With individuals
With entities
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2
Aggregate
3
Sum (3=1+2)
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3. Securities
investment consultancy
No.
Description
Quantity
Consultancy fee
(1)
(2)
(3)
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Consultancy agreements
in effect for a month
1
Domestic clients
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Organizational clients
2
Foreign clients
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Individual clients
Organizational clients
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4. Own-account trading of foreign indirect
investments (if any)
(only applicable to monthly reports)
4.1 Situations of own-account trading limits of
foreign indirect investments
No.
Description
Amount
Foreign currency
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I
Limit for own-account
trading endorsed by the State Bank of Vietnam
1
US Dollar
2
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3
…
II
Total end-of-month
investments
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1
US Dollar
2
British Pound
3
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III
Total during-month
investment
1
US Dollar
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2
British Pound
3
…
IV
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1
US Dollar
2
British Pound
...
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3
…
(Applying the real exchange rate available at
the trading time)
4.2 Organizations opening transaction accounts
No.
Name
Address
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Quantity
1
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4.3 Own-account
trading of foreign indirect investments
a. Own-account trading of securities
No.
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Total purchases during the first part of the year
Total sales during the first part of the year
Purchases within the month
Sales within the month
Total purchases at end of the reporting period
Total sales at end of the reporting period
Volume
Value
Volume
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Volume
Value
Volume
Value
Volume
Value
Volume
Value
1
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- In foreign currency
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- In VND
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2
Bonds
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- In foreign currency
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3
Fund certificates
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- In foreign currency
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- In VND
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Aggregate
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- In VND
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(Conversions between
VND and foreign currencies are made by using real trading exchange rates
available at the trading time)
b. Holding of securities and foreign indirect
investments
(measured according to the holding value of foreign
currencies)
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Type of securities
Securities held at the reporting time
Total outstanding stock of the issuing entity determined
at the reporting time
Holding ratio (%)
Volume
Book value determined at the purchase time
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Asset growth ratio (%)
In a foreign currency
In billion VND
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(1)
(2)
(3)
(4)
(5)
(6)
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(8)
(9)=(3)/ (8)* 100
I
Investment in
securities
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1
Stocks
...
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A
...
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…
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2
...
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A
...
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Fund certificates
...
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A
...
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…
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II
Other investments
...
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1
…..
...
...
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...
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Aggregate (I+II)
...
...
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(Conversions between
VND and foreign currencies are made by using real trading exchange rates
available at the trading time)
* Notes:
Column (2) must specify types of securities using ticker
symbols of securities that securities companies are holding.
Column (3) indexes securities that securities
companies are holding, except securities in transit to accounts.
Column (4) shows amounts calculated according to
agreed-upon purchase prices/capital contribution prices;
Column (5) shows real exchange rates applied to
conversions between VND and other foreign currency at the trading time;
Column (6) shows closing prices or average trading
prices determined at the reporting time or rational values of unlisted
securities.
As for bonds, column (8) and (9) may be kept blank.
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No.
Description
Quantity
Value
Cumulative value
Average charge rate (%)
(1)
(2)
(3)
...
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(5)
1
Trade deals remaining
in effect (detailing service types)
...
...
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2
Trade deals existing
during a month, including:
...
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Contracts for…(type of
contract)
Domestic parties
...
...
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Individuals
...
...
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Foreign parties
...
...
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Individuals
Entities
...
...
...
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…
...
...
...
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….
...
...
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Total fee earned
II. Company’s
personnel information
1. Organizational structure
No.
...
...
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Reporting period
Preceding period
Total staff members
(including those working at head office, representative offices, foreign and
Vietnamese employees)
Including
...
...
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1
Head office
Total staff members
...
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Number of staff members
involved in asset analysis, investment and management
Number of staff members
holding certificates of practicing in asset analysis, investment and management
operations
...
...
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2
Branches (detailing
branches)
Total staff members
working at branches
...
...
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Number of staff members
working at operations departments
Number of staff members
holding practicing certificates that are working at operations departments
...
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3
Representative
offices
Total staff members
2. Training programs
(included in annual reports only)
...
...
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Description of training programs and duration
Number of participants
Trainers
1
2
...
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3
III. Issues and
recommendations
1. Legal framework
2. State Securities Commission’s administration and
governance
3. Other issues
...
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REPORT MAKER
(Signature and full name)
INTERNAL
COMPTROLLER
(Signature and full name)
DIRECTOR
(GENERAL)
(Signature, full name and seal)
APPENDIX
02
(As a replacement
for Appendix 10 to the Circular No. 212/2012/TT-BTC dated December 5, 2012 of
the Minister of Finance, providing instructions about establishment,
organization and operation of fund management companies)
Sample Report on portfolio management operations
(To the Circular
No. 91/2019/TT-BTC dated December 31, 2019 of the Minister of Finance, amending
and supplementing several Circulars setting out reporting regulations and
administrative procedures applied to fund management companies, securities
investment trusts and investment companies)
Fund management
company's name:...
-------
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No.……..
……, date
(dd/mm/yyyy) …
REPORT ON PORTFOLIO
MANAGEMENT OPERATIONS
(Made on a
Monthly basis)
Dear: State
Securities Commission
1. Fund management company's name:
2. Depository bank’s name:
3. Depository account:………………………
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A. GENERAL PORTFOLIO MANAGEMENT REPORT (Unit:…VND)
I. General information about assessment of
investment portfolio management activities
No.
Assessment indices
Reporting period
Preceding period
Notes
1
Total number of
existing portfolio management agreements
...
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- With individuals (%)
2
Total value of
portfolio management agreements (Framework agreements)
- With entities (%)
- With individuals (%)
...
...
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3
Total value of
investment management agreements (Actual disbursed amount)
- With entities (%)
- With individuals (%)
4
...
...
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- With entities (%)
- With individuals (%)
5
Total portfolio
management fee earned within a period
...
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6
Average rate of
portfolio management fee
II. Assessment of transactions arising from
portfolio management activities performed within a period
Purchases
Sales
Total transaction value on average/total value on average
of assets held in trust
...
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Amount
Volume
Amount
Current period
Preceding period
...
...
...
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III. General
information about each portfolio management agreement
1. Client’s name:
...
...
...
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No.
Category
Quantity
Market price determined at the reporting time
Total value
Rate (%)/Total present value of investment portfolios
I
Listed securities
1
...
...
...
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2
...
...
...
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Aggregate
II
Unlisted securities
1
...
...
...
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2
...
...
...
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Aggregate
III
Bonds
1
...
...
...
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2
...
...
...
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Aggregate
IV
Other securities
1
...
...
...
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2
...
...
...
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Aggregate
V
Other assets
1
...
...
...
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2
...
...
...
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Aggregate
VI
Money
1
...
...
...
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2
Bank deposits
...
...
...
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Aggregate
VII
Total value of
investment portfolios
...
...
...
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IV. General
information about portfolio management agreements
No.
Category
Quantity
Total value
Rate (%)/Total present value of investment portfolios
I
...
...
...
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1
2
...
...
...
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Aggregate
II
Unlisted securities
...
...
...
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2
...
...
...
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Aggregate
III
Bonds
1
...
...
...
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2
Aggregate
...
...
...
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IV
Other securities
1
...
...
...
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2
Aggregate
...
...
...
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V
Other assets
1
2
...
...
...
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Aggregate
VI
...
...
...
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1
Cash
2
Bank deposits
...
...
...
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Aggregate
VII
Total value of
investment portfolios
...
...
...
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B. REPORT ON ASSESSMENT OF MANAGEMENT OF FOREIGN
INDIRECT INVESTMENT PORTFOLIOS (if any)
I. Assessment of implementation of limits on
foreign indirect investments held in trust
No.
Assessment indices
Amount
In a foreign currency
Billion VND (converted)
I
...
...
...
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1
US Dollar
2
British Pound
...
...
...
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3
…
II
Amount of portfolios
held in trust at end of a month
1
...
...
...
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2
British Pound
3
….
...
...
...
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III
Amount of portfolios
held in trust within a month
1
US Dollar
2
...
...
...
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3
….
IV
Residual amount of
portfolios held in trust (IV = I-II)
...
...
...
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1
US Dollar
2
British Pound
3
...
...
...
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(Conversions between VND and foreign currencies
are made by using real trading exchange rates available at the trading time)
II. General information about assessment of management
of foreign indirect investment portfolios
No.
Assessment indices
Reporting period
Preceding period
Notes
...
...
...
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Billion VND
Foreign currency
Billion VND
1
Total number of
existing portfolio management agreements
...
...
...
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Total value of
portfolio management agreements (Framework agreements)
3
Total value of
investment management agreements (Actual disbursed amount)
...
...
...
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4
Total market value of
portfolio management agreements
...
...
...
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5
Total portfolio
management fee earned within a period
6
Average rate of
portfolio management fee
...
...
...
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III. Assessment of
transactions arising from portfolio management activities performed
within a period
Purchases
Sales
Total transaction value on average/total value on average
of assets held in trust
Amount
...
...
...
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Current period
Preceding period
Volume
Foreign currency
Billion VND
Volume
Foreign currency
Billion VND
Volume
...
...
...
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Billion VND
...
...
...
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...
...
...
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IV. General information about each foreign
indirect investment management agreement
1. Client’s name:
2. Depository account:………………………
No.
Category
Quantity
Market price determined at the reporting time
Total value
Rate (%)/Total present value of investment portfolios
...
...
...
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Billion VND
Foreign currency
Billion VND
I
Deposit certificates
1
...
...
...
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Aggregate
...
...
...
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II
Government bonds
1
...
...
...
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Aggregate
...
...
...
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III
Listed securities
1
...
...
...
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Aggregate
IV
...
...
...
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1
...
...
...
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V
Listed fund
certificates
1
...
...
...
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Aggregate
...
...
...
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VI
Other assets
1
...
...
...
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Aggregate
...
...
...
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VII
Total value of
investment portfolios
...
...
...
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(Conversions between VND and foreign currencies
are made by using real trading exchange rates available at the reporting time)
V. General information about foreign indirect
investment management agreements
No.
Category
Quantity
Total value
Rate (%)/Total present value of investment portfolios
Foreign currency
Billion VND
...
...
...
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I
Deposit certificates
1
...
...
...
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Aggregate
II
Government bonds
1
...
...
...
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Aggregate
...
...
...
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III
Listed securities
1
...
...
...
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Aggregate
IV
Listed bonds
1
...
...
...
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Aggregate
...
...
...
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V
Listed fund
certificates
1
...
...
...
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Aggregate
VI
Other assets
1
...
...
...
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Aggregate
...
...
...
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VII
Total value of
investment portfolios
(Conversions between
VND and foreign currencies are made by using real trading exchange rates
available at the reporting time)
AUTHORIZED
REPRESENTATIVE OF DEPOSITORY BANK IN VIETNAM/OVERSEAS DEPOSITORY
(Signature, full name and seal)
...
...
...
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APPENDIX
03
(As a replacement
for Appendix No. 31 and 34 to the Circular No. 183/2011/TT-BTC dated December
16, 2011 of the Minister of Finance, providing instructions about establishment
and management of open-end funds)
Sample Report on open-end fund’s investments
(To the Circular
No. 91/2019/TT-BTC dated December 31, 2019 of the Minister of Finance, amending
and supplementing several Circulars setting out reporting regulations and
administrative procedures applied to fund management companies, securities
investment trusts and investment companies)
Fund management
company's name:...
-------
SOCIALIST
REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------
No……..
……, date
(dd/mm/yyyy) …
...
...
...
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REPORT ON OPEN-END
FUND’S INVESTMENTS
(Made on a
Monthly/Quarterly/Annual basis)
Dear: State
Securities Commission
1. Fund management company's name:
2. Supervisory bank’s name:
3. Fund’s name:
4. Reporting date:
A. GENERAL REPORT ON FUND’S
INVESTMENTS (Unit:…VND)
I. Asset report
...
...
...
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Assets
Reporting period
Preceding period
%/same period last year
I.1
Cash and cash
equivalents
...
...
...
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Cash
Bank deposits
...
...
...
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Cash equivalents
I.2
Investments (specified
in detail)
...
...
...
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Stock dividends and
coupons paid
I.4
Interest earned
...
...
...
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Securities redemption
proceeds awaiting collection (specified in detail)
I.6
Other receivables
...
...
...
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Other assets
I.8
Total asset
...
...
...
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Liabilities
Reporting period
Preceding period
%/same period last year
II.1
Payables for purchase
of securities (specified in detail)
...
...
...
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Other payables
II.3
Total liabilities
...
...
...
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Fund’s net asset
(I.8-II.3)
Total number of Fund’s
units
...
...
...
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Net asset value per
each Fund’s unit
II. Income statement
No.
Assessment indices
Reporting period
Preceding period
...
...
...
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I
Income generated from
investments
1
Stock dividends and
coupons paid
...
...
...
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2
Interest earned
3
Other income
...
...
...
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II
Expenses
1
Payment of fund
management company's management fees
...
...
...
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2
Payment of charges for
depository and supervision services paid to supervisory banks
3
Payment of charges for
fund hosting services, transfer agency commissions and other payments to
related service providers
...
...
...
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4
Payment of charges for
audit services to audit organizations
5
Payment of charges for
legal counseling services, charges for price proposal document preparation services
and other reasonable services, and payment on remunerations to the fund’s
representative board;
...
...
...
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6
Payment of costs of
drafting, printing prospectuses, summary prospectuses, financial statements,
transaction confirmations, billing statements and other documents, and
submitting them to investors; costs of fund communication; costs of
organization of general meetings of investors and the fund’s representative
boards;
7
Payment of costs
related to execution of asset transactions of funds.
...
...
...
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8
Other costs (specified
in detail)
III
Net income earned from
investments (I-II)
...
...
...
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IV
Profit (loss) arising
from investments
1
Actual profit (loss)
arising from investment
...
...
...
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2
Changes in value of
investments within the period
V
Changes in the fund’s
net asset value due to investments within a period (III + IV)
...
...
...
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VI
Net asset value
generated at beginning of the period
VII
Changes in the fund’s
net asset value within the period:
...
...
...
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Including
1
Changes in the fund’s
net asset value due to activities related to investments within the period
...
...
...
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2
Changes in the fund’s
net asset value caused by distribution of its income to investors within the
period
VIII
Net asset value
generated at end of the period
...
...
...
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IX
Annual average profit
(only applicable to annual reports)
Average annual profit
rate (only applicable to annual reports)
...
...
...
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III. Investment portfolio report
No.
Asset category (specified in detail)
Quantity
Market price or reasonable price determined at the
reporting date
Total value
Ratio/total value of fund’s assets
I
Listed securities
...
...
...
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…
...
...
...
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Subtotal
II
Unlisted securities
...
...
...
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…
...
...
...
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Subtotal
Total
...
...
...
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Bonds
1
…
...
...
...
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Subtotal
...
...
...
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Other securities
1
…
...
...
...
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Subtotal
...
...
...
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Total
V
Other assets
1
...
...
...
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Subtotal
VI
Money
1
Cash
...
...
...
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2
Deposit certificates
...
...
...
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Negotiable instruments…
...
...
...
...
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Subtotal
VII
Grand total of all
value of portfolios
...
...
...
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IV. Report on lending,
redemption and buyback transactions
No.
Description of transactions (indexing
transactions by target and counterparty)
Counterparty
Target/Collateral
Tenure
...
...
...
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Transaction time
Reporting time
Borrowed or leased amount
Date (dd/mm/yyyy)
Ratio of contract value to net asset
value
Date (dd/mm/yyyy)
Ratio of contract value to net asset
value
1
Loans (indexed
by agreements)
...
...
...
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…
...
...
...
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Total
value of loans/net asset value
2
Repo
agreements [1] (indexed by types of agreement)
2.1
...
...
...
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II
...
...
...
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A
Total
value of borrowings/net asset value (=I+II)
...
...
...
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3
Lending
of securities (indexed by types of agreement)
3.1
…
...
...
...
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III
Total
value of agreements/net asset value
...
...
...
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4
Reverse
Repo agreements [2] (indexed by types of agreement)
4.1
…
...
...
...
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IV
Total
value of agreements/net asset value
...
...
...
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B
Total
value of leases/net asset value (=III +IV)
V. Several other indices
...
...
...
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Description
Reporting period
Preceding period
I
Indices measuring
business performance
1
Ratio of management fee
payable to the fund management company to the average net asset value within
a period (%)
...
...
...
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2
Ratio of depository and
supervisory fees payable to the supervisory bank to the average net asset
value within a period (%)
3
Ratio of fund hosting
service charges, transfer agency commissions and other expenses that the fund
management company has to pay related service providers to the average net
asset value within a period (%)
...
...
...
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Proportion of auditing
costs payable to the auditing organization (if any) to the average net asset
value within a period (%)
5
Proportion of charges
for legal counsel, price proposal formulation and other reasonable services,
or remunerations paid to the fund's representative board to the average net
asset value within a period (%)
6
Proportion of operating
expenses to the average net asset value within a period (%)
...
...
...
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7
Turnover ratio within a
period (%) = (Total value of portfolios purchased + Total value of portfolios
sold) x 100%/2 x the average net asset value within a period
II
Others
...
...
...
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Fund's size at start of
the period
Total value of
outstanding fund certificates at start of the period
Total number of
outstanding fund units at start of the period
...
...
...
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2
Changes in the fund’s
size during the period
Total number of fund
units additionally issued during the period
Total actual amount of
capital raised within the period
...
...
...
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Total number of fund
units repurchased during the period
Total actual amount of
capital payable during the period while meeting investor's orders
3
Fund's size at end of
the period
...
...
...
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Total value of
outstanding fund certificates at end of the period
Total number of
outstanding fund units at end of the period
4
...
...
...
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5
Holding rate of fund
certificates of 10 largest investors at end of the period
6
Holding rate of fund
certificates of 10 foreign investors at end of the period
...
...
...
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7
Total number of
investors taking stakes in the fund, inclusive of trading in registered form
8
Net asset value per
each fund unit at end of the month
...
...
...
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(only applicable to annual reports)
No.
Names (tinder symbols) of securities companies (making
trades of which amount is 5% greater than total trade determined within a
period)
Relationship with the fund management company
Percentage of the fund’s trades performed at specific
securities companies
Average transaction fee
Average stock exchange transaction fee
Amount of securities transactions performed during the
reporting period
Total amount of securities transactions during the
reporting period
...
...
...
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(1)
(2)
(3)
(4)
(5)
(6)=(4)/(5)(%)
(7)
...
...
...
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1
…
...
...
...
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Aggregate
...
...
...
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B. REPORT ON PROPRIETARY TRADING OF FOREIGN
INDIRECT INVESTMENTS (if any)
(only applicable to monthly reports)
I. Implementation of own-account trading limits
of foreign indirect investments
No.
Assessment indices
...
...
...
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Foreign currency
Billion VND (converted)
I
Limit for own-account
trading endorsed by the State Bank of Vietnam
1
US Dollar
...
...
...
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2
…
II
Total end-of-month
investments
1
...
...
...
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2
…
III
Total during-month
investment
...
...
...
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1
US Dollar
2
…
IV
...
...
...
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1
US Dollar
2
….
...
...
...
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(Conversions between
VND and foreign currencies are made by using real trading exchange rates
available at the trading time)
II. Report on foreign indirect investment assets
No.
Assets
Reporting period
Preceding period
%/same period last year
Foreign currency
Billion VND
...
...
...
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Billion VND
I.1
Cash and cash
equivalents
...
...
...
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Money
Bank deposits
...
...
...
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Cash equivalents
...
...
...
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I.2
Investments (specified
in detail)
I.3
Stock dividends and
coupons paid
...
...
...
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I.4
Interest earned
...
...
...
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I.5
Securities redemption
proceeds awaiting collection (specified in detail)
I.6
...
...
...
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I.7
Other assets
...
...
...
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I.8
Total asset
...
...
...
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Liabilities
Reporting period
Preceding period
%/same period last year
Foreign currency
Billion VND
Foreign currency
Billion VND
...
...
...
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Payables for purchase
of securities (specified in detail)
II.2
Other payables
...
...
...
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II.3
Total liabilities
...
...
...
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(Conversions between VND and foreign currencies
are made by using real trading exchange rates available at the trading time)
III. Foreign indirect investment income
statement
No.
Assessment indices
Reporting period
Preceding period
Amount accumulated from the beginning of the reporting
year
Foreign currency
Billion VND
...
...
...
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Billion VND
I
Income earned from
own-account trading of foreign indirect investments
...
...
...
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Stock dividends and
coupons obtained
Interest earned
...
...
...
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Other income (specified
in detail)
...
...
...
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II
Foreign indirect
investment expenses
Depository fee for
securities traded at foreign countries
...
...
...
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Other fees (specified
in detail)
...
...
...
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III
Net income earned from
foreign indirect investments (I-II)
IV
...
...
...
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Actual profit (loss)
earned/incurred from investments
...
...
...
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Changes in value of
investments during the period
...
...
...
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IV. Foreign indirect investment portfolio report
No.
Asset category (specified in detail)
Quantity
Market price or reasonable price determined at the
reporting date
Total value
Ratio (%) of portfolio to total net asset value
Foreign currency
Billion VND
...
...
...
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Billion VND
I
Deposit certificates
1
...
...
...
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Subtotal
...
...
...
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II
Government bonds
1
...
...
...
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Subtotal
III
...
...
...
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1
...
...
...
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IV
Listed bonds
1
...
...
...
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Subtotal
...
...
...
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V
Listed fund
certificates
1
...
...
...
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Subtotal
...
...
...
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VI
Other assets
1
...
...
...
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Subtotal
...
...
...
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VII
Grand total of all
value of portfolios
(Conversions between VND and foreign currencies
are made by using real trading exchange rates available at the trading time)
...
...
...
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AUTHORIZED
REPRESENTATIVE OF SUPERVISORY BANK IN VIETNAM/OVERSEAS DEPOSITORY
(Signature, full name and seal)
DIRECTOR
(GENERAL) OF FUND MANAGEMENT COMPANY
(Signature, full name and seal)
APPENDIX
04
(As a replacement
for Appendix 17 to the Circular No. 224/2012/TT-BTC dated December 26, 2012 of the
Minister of Finance, providing instructions about establishment and management
of closed-end funds and private mutual funds)
Sample Report on investments of closed-end funds and
private mutual funds
(To the Circular
No. 91/2019/TT-BTC dated December 31, 2019 of the Minister of Finance, amending
and supplementing several Circulars setting out reporting regulations and
administrative procedures applied to fund management companies, securities
investment trusts and investment companies)
Fund management
company's name:...
-------
...
...
...
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No.……..
……, date
(dd/mm/yyyy) …
REPORT ON
INVESTMENTS OF CLOSED-END FUND AND PRIVATE MUTUAL FUND
(Made on a Monthly/Quarterly/Annual
basis)
Dear: State
Securities Commission
1. Fund management company's name:
2. Name of the supervisory bank/depository bank:
3. Fund’s name:
...
...
...
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A. GENERAL REPORT ON FUND’S INVESTMENTS (Unit:…VND)
I. Asset report
No.
Assets
Reporting period
Preceding period
%/same period last year
I.1
Cash and cash
equivalents
...
...
...
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Money
Bank deposits
...
...
...
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Cash equivalents
I.2
Investments (specified
in detail)
...
...
...
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I.3
Stock dividends and
coupons paid
I.4
Interest earned
...
...
...
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I.5
Securities redemption
proceeds awaiting collection (specified in detail)
I.6
Other receivables
...
...
...
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I.7
Other assets
I.8
Total asset
...
...
...
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No.
Liabilities
Reporting period
Preceding period
%/same period last year
II.1
Payables for purchase
of securities (specified in detail)
...
...
...
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II.2
Other payables
II. 3
Total liabilities
...
...
...
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Fund’s net asset
(I.8-II.3)
Total number of
outstanding fund certificates
...
...
...
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Net asset value per a
fund certificate
II. Income statement
No.
...
...
...
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Reporting period
Preceding period
Amount accumulated from the beginning of the reporting
year
I
Income generated from
investments
1
...
...
...
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2
Interest earned
3
...
...
...
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II
Expenses
1
...
...
...
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2
Payment of charges for
depository and supervision services paid to supervisory banks
3
...
...
...
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4
Payment of charges for
audit services to audit bodies;
5
...
...
...
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6
Payment of costs of
drafting, printing prospectuses, summary prospectuses, financial statements,
transaction confirmations, billing statements and other documents, and
submitting them to investors; costs of fund communication; costs of
organization of general meetings of investors and the fund’s representative
board;
7
...
...
...
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8
Other costs (specified
in detail)
III
...
...
...
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IV
Profit (loss) arising
from investments
1
...
...
...
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2
Changes in value of
investments during the period
V
...
...
...
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VI
Net asset value
generated at beginning of the period
VII
...
...
...
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Including
1
...
...
...
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2
Changes in the fund’s
net asset value due to distribution of its income to investors within the
period
VIII
...
...
...
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IX
Annual average profit
(only applicable to annual reports)
...
...
...
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III. Investment
portfolio report
...
...
...
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Asset category (specified in detail)
Quantity
Market price or reasonable price determined at the
reporting date
Total value
Ratio/total value of fund’s assets
I
Listed securities
1
...
...
...
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…
...
...
...
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Subtotal
II
Unlisted securities
1
...
...
...
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…
...
...
...
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Subtotal
Total
III
Bonds
...
...
...
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…
...
...
...
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Subtotal
IV
Other securities
...
...
...
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…
...
...
...
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Subtotal
Total
...
...
...
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Other assets
1
…
...
...
...
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Subtotal
...
...
...
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Money
1
Cash
2
Deposit certificates
...
...
...
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3
Negotiable instruments…
...
...
...
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Subtotal
...
...
...
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VII
Grand total of all
value of portfolios
IV. Report on lending,
redemption and buyback transactions
No.
...
...
...
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Counterparty
Target/Collateral
Tenure
Borrowed or leased amount
Transaction time
Reporting time
Date (dd/mm/yyyy)
Ratio of contract value to net asset
value
Date (dd/mm/yyyy)
...
...
...
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1
Loans (indexed
by specific agreements)
1.1
…
...
...
...
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…
…
...
...
...
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I
Total
value of loans/net asset value
...
...
...
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Repo
agreements[3] (indexed by specific agreements)
2.1
…
...
...
...
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…
…
...
...
...
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II
Total
value of Repo agreements to net asset value
A
...
...
...
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3
Lending
of securities (indexed by types of agreement)
3.1
…
...
...
...
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4
…
...
...
...
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III
Total
value of agreements/net asset value
...
...
...
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4
Repo
agreements[4] (indexed by specific agreements)
4.1
…
...
...
...
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…
…
...
...
...
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IV
Total
value of agreements/net asset value
...
...
...
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B
Total
value of leases/net asset value (=III +IV)
...
...
...
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V. Several other indices
No.
Assessment indices
Reporting period
Preceding period
I
Indices measuring
business performance
...
...
...
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Ratio of management fee
payable to the fund management company to the average net asset value within
a period (%)
2
Ratio of depository and
supervisory fees payable to the supervisory bank to the average net asset
value within a period (%)
3
Proportion of auditing
costs payable to the auditing body (if any) to the average net asset value
within a period (%)
...
...
...
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4
Proportion of charges
for legal counsel, price proposal formulation and other reasonable services,
or remunerations paid to the fund's representative board to the average net
asset value within a period (%)
5
Proportion of operating
expenses to the average net asset value within a period (%)
...
...
...
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Turnover ratio within a
period (%) = (Total value of portfolios purchased + Total value of portfolios
sold) x 100%/2x x the average net asset value within a period
7
Ratio of income
(including income earned from interest, stock dividends, coupons and price
differentials) to the net asset value
II
Others
...
...
...
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1
Fund's size at start of
the period
Total value of
outstanding fund certificates at start of the period
...
...
...
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2
Changes in the fund’s
size during the period
Total number of fund
certificates additionally issued during the period
...
...
...
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Total actual amount of
capital raised within the period
3
Fund's size at end of
the period
Total value of
outstanding fund certificates at start of the period
...
...
...
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Total number of
outstanding fund certificates at start of the period
4
Holding rate of fund
certificates of the fund management company and other stakeholders at end of
the period
5
...
...
...
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6
Holding rate of fund
certificates of 10 foreign investors at end of the period
7
Net asset value per a
fund certificate at end of the period
...
...
...
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8
Market value per a fund
certificate at end of the period
VI. Transaction fee report
(only applicable to annual reports)
No.
Names (tinder symbols) of securities companies (making
trades of which amount is 5% greater than total trade determined within a
period)
Relationship with the fund management company
...
...
...
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Average transaction fee
Average stock exchange transaction fee
Amount of securities transactions performed during the
reporting period
Total amount of securities transactions performed during
the reporting period
Ratio of securities transactions via securities companies
during the reporting period
(1)
(2)
...
...
...
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(4)
(5)
(6)=(4)/(5)(%)
(7)
(8)
1
...
...
...
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...
...
...
...
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Total
...
...
...
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(only applicable to monthly reports)
I. Implementation of own-account trading limits
of foreign indirect investments
No.
Assessment indices
Amount
Foreign currency
Billion VND (converted)
I
Limit for own-account
trading endorsed by the State Bank of Vietnam
...
...
...
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1
US Dollar
2
…
...
...
...
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Total end-of-month
investments
1
US Dollar
2
…
...
...
...
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III
Total during-month
investment
1
US Dollar
...
...
...
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…
IV
Residual investment
allowance
(IV = I-II)
...
...
...
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1
US Dollar
2
…
...
...
...
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II. Foreign indirect investment asset report
No.
Assets
Reporting period
Preceding period
%/same period last year
Foreign currency
Billion VND
Foreign currency
...
...
...
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I.1
Cash and cash
equivalents
...
...
...
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Bank deposits
...
...
...
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Cash equivalents
...
...
...
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Investments (specified
in detail)
I.3
Stock dividends and
coupons obtained
...
...
...
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I.4
Interest earned
...
...
...
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I.5
Securities redemption
proceeds awaiting collection (specified in detail)
I.6
Other receivables
...
...
...
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I.7
Other assets
...
...
...
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I.8
Total asset
No.
...
...
...
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Reporting period
Preceding period
%/same period last year
Foreign currency
Billion VND
Foreign currency
Billion VND
II.1
...
...
...
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II.2
Other payables
...
...
...
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II.3
Total liabilities
...
...
...
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III- Foreign indirect investment income
statement
No.
Assessment indices
Reporting period
Preceding period
Amount accumulated from the beginning of the reporting
year
Foreign currency
Billion VND
Foreign currency
...
...
...
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I
Income earned from
own-account trading of foreign indirect investments
...
...
...
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Interest earned
...
...
...
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Other income (specified
in detail)
...
...
...
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Foreign indirect
investment expenses
Depository fee for
securities traded at foreign countries
...
...
...
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Other fees (specified
in detail)
...
...
...
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III
Net income earned from
foreign indirect investments (I-II)
IV
Profit (loss)
earned/incurred from foreign indirect investments
...
...
...
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Actual profit (loss)
arising from investment
...
...
...
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Changes in value of
investments during the period
(Conversions between VND and foreign currencies
are made by using real trading exchange rates available at the trading time)
...
...
...
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No.
Asset category (specified in detail)
Quantity
Market price or reasonable price determined at the
reporting date
Total value
Ratio (%) of portfolio to total net asset value
Foreign currency
Billion VND
Foreign currency
...
...
...
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I
Deposit certificates
1
...
...
...
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Subtotal
...
...
...
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Government bonds
1
...
...
...
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Subtotal
III
Listed securities
...
...
...
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Subtotal
...
...
...
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IV
Listed bonds
1
...
...
...
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Subtotal
...
...
...
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V
Listed fund
certificates
...
...
...
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Subtotal
...
...
...
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VI
Other assets
1
...
...
...
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Subtotal
...
...
...
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Grand total of all
value of portfolios
(Conversions between
VND and foreign currencies are made by using real trading exchange rates
available at the trading time)
...
...
...
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DIRECTOR
(GENERAL) OF FUND MANAGEMENT COMPANY
(Signature, full name and seal)
APPENDIX
05
(As a replacement
for Appendix 18 to the Circular No. 227/2012/TT-BTC dated December 27, 2012 of the
Minister of Finance, providing instructions about establishment, organization,
operation and management of fund management companies)
Sample Report on investments of the securities
company
(To the Circular No.
91/2019/TT-BTC dated December 31, 2019 of the Minister of Finance, prescribing
amendments and supplements to several Circulars on reporting regulations and
administrative procedures applied to fund management companies, securities
investment trusts and investment companies)
Fund management
company's name:...
-------
SOCIALIST
REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------
No.……..
...
...
...
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REPORT ON
INVESTMENTS OF THE SECURITIES COMPANY
(Made on a
monthly/quarterly/annual basis)
Dear: State
Securities Commission
1. Fund management company's name:
2. Name of the supervisory bank/depository bank:
3. Securities investment company’s name:
4. Reporting date:
A. GENERAL REPORT ON INVESTMENTS OF THE
SECURITIES INVESTMENT COMPANY (Unit:…VND)
...
...
...
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No.
Assets
Reporting period
Preceding period
%/same period last year
I.1
Cash and cash
equivalents
...
...
...
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Money
Bank deposits
...
...
...
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Cash equivalents
I.2
Investments (specified
in detail)
...
...
...
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I.3
Stock dividends and
coupons obtained
I.4
Interest earned
...
...
...
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I.5
Securities redemption
proceeds awaiting collection (specified in detail)
I.6
Other receivables
...
...
...
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I.7
Other assets
I.8
Total asset
...
...
...
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No.
Liabilities
Reporting period
Preceding period
%/same period last year
II.1
Payables for purchase
of securities (specified in detail)
...
...
...
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II.2
Other payables
II.3
Total liabilities
...
...
...
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Net assets of the
securities investment company (I.8-II.3)
Total number of
outstanding securities
...
...
...
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Net asset value per
share
II. Income statement
No.
Assessment indices
Reporting period
...
...
...
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Amount accumulated from the beginning of the reporting
year
I
Income generated from
investments
1
Stock dividends and
coupons obtained
...
...
...
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2
Interest earned
3
Other income
...
...
...
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II
Expenses
1
Payment of fund
management company's management fees
...
...
...
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2
Payment of charges for
depository and supervision services paid to supervisory banks
3
Payment of charges for
audit services to audit organizations
...
...
...
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4
Payment of charges for
legal counseling, price proposal formulation and other reasonable services,
and remunerations paid to the securities investment company’s governing
board;
5
Payment of costs of
drafting, printing prospectuses, financial statements, transaction
confirmations, billing statements and other documents, and submitting them to
shareholders; costs of the securities investment company’s communication;
costs of organization of shareholders' general meeting and the governing
board’s meeting;
...
...
...
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6
Payment of costs
related to execution of asset transactions of the securities investment
company.
7
Other costs (specified
in detail)
...
...
...
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III
Net income earned from
investments (I-II)
IV
Profit (loss) arising
from investments
...
...
...
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1
Actual profit (loss)
arising from investments
2
Changes in value of
investments during the period
...
...
...
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V
Changes in net asset
value due to investments within a period (III + IV)
VI
Net asset value
generated at beginning of the period
...
...
...
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VII
Changes in net asset
value of the securities investment company during the period:
Including
...
...
...
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1
Changes in the
securities investment company’s net asset value owing to activities related
to investments within the period
2
Changes in net asset
value due to distribution of its income to shareholders within the period
...
...
...
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VIII
Net asset value
generated at end of the period
IX
Annual average profit
(only applicable to annual reports)
...
...
...
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Average annual profit
rate (only applicable to annual reports)
III. Investment
portfolio report
No.
Asset category (specified in detail)
...
...
...
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Market price or reasonable price determined at the
reporting date
Total value
Ratio of portfolios to total asset value
I
Listed securities
1
...
...
...
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Total
...
...
...
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II
Unlisted securities
1
...
...
...
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Subtotal
...
...
...
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Total of all securities
III
Bonds
1
...
...
...
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...
...
...
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Total
IV
Other securities
...
...
...
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1
…
...
...
...
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Subtotal
...
...
...
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V
Other assets
1
…
...
...
...
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Total
...
...
...
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VI
Money
1
Cash
2
...
...
...
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3
Negotiable instruments…
...
...
...
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…
Total
...
...
...
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VII
Grand total of all
value of portfolios
IV. Report on lending,
redemption and buyback transactions
...
...
...
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Description of transactions (indexed by
target and counterparty)
Counterparty
Target/Collateral
Tenure
Leased or borrowed amount
Transaction time
Reporting time
Date (dd/mm/yyyy)
Ratio of contract value to net asset
value
...
...
...
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Ratio of contract value to net asset
value
1
Loans (indexed
by types of agreement)
1.1
…
...
...
...
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…
…
...
...
...
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Total
value of loans/net asset value
...
...
...
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2
Repo
agreements[5] (indexed by specific agreements)
2.1
…
...
...
...
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....
…
...
...
...
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II
Total
value of Repo agreements/net asset value
...
...
...
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Total
value of borrowings/net asset value (=I+II)
3
Lending
of securities (indexed by types of agreement)
...
...
...
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…
...
...
...
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…
...
...
...
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Total
value of agreements/net asset value
4
Repo
agreements[6] (indexed by specific agreements)
4.1
...
...
...
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…
...
...
...
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IV
...
...
...
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B
Total
value of leases/net asset value (=III +IV)
...
...
...
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V. Several other indices
No.
Assessment indices
Reporting period
Preceding period
I
Indices measuring
business performance
...
...
...
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1
Ratio of management fee
payable to the fund management company to the average net asset value within
a period (%)
2
Ratio of depository and
supervisory fees payable to the supervisory bank to the average net asset
value within a period (%)
...
...
...
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Proportion of auditing
costs payable to the auditing organization (if any) to the average net asset
value within a period (%)
4
Payment of charges for
legal counseling, price proposal formulation and other reasonable services,
and remunerations paid to the securities investment company to the average
net asset value within the period (%)
5
Proportion of operating
expenses to the average net asset value within a period (%)
...
...
...
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6
Turnover ratio within a
period (%) = (Total value of portfolios purchased + Total value of portfolios
sold) x 100%/2 x the average net asset value within a period
7
Ratio of income
(including income earned from interest, stock dividends, coupons and price
differentials) to the net asset value
...
...
...
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Others
1
Securities investment
company’s capital amount at start of the period
Total value of
outstanding securities at start of the period
...
...
...
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Total number of
outstanding securities at start of the period
2
Changes in the
company’s size during the period
...
...
...
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Total actual amount of
capital raised within the period
3
The company’s capital
amount at end of the period
...
...
...
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Total value of
outstanding securities at start of the period
Total number of
outstanding securities at start of the period
4
Holding rate of
securities of the fund management company and other stakeholders at end of
the period
...
...
...
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5
Holding rate of
securities of 10 largest shareholders at end of the period
6
Holding rate of
securities of overseas shareholders at end of the period
7
...
...
...
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8
Market value per share
at end of the period
VI. Transaction fee report
(only applicable to annual reports)
No.
...
...
...
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Relationship with the fund management company
Rate of transaction of the securities investment company
at specific securities companies
Average transaction fee
Average stock exchange transaction fee
Value of transaction during the reporting period of the
securities investment company
Total amount of securities transactions performed during
the reporting period
Rate of transaction of the securities investment company
through the securities company within the reporting period
...
...
...
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(2)
(3)
(4)
(5)
(6)=(4)/(5)(%)
(7)
(8)
1
...
...
...
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2
...
...
...
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…
...
...
...
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Total
...
...
...
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(only applicable to semi-annual reports and
annual reports)
No.
Information about stakeholders (specifying names of
individuals and entities)
ID card/business registration certificate number/issuance
date
Information about transaction
Total value of transaction
Type of asset traded (specified in detail)
Trading time/price
I
...
...
...
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1
Nguyen Van A
...
...
...
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2
Company B
…
...
...
...
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II
Governing board’s
members
1
...
...
...
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2
......
...
...
...
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…
…..
III
Fund’s leadership (i.e.
Director, Deputy Director or Director General, Deputy Director General)
...
...
...
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1
Nguyen Van D
2
...
...
...
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…
...
...
...
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IV
Fund management company
V
Entities of which 35%
of the charter capital is held by those persons referred to in I through IV
...
...
...
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1
Company E
2
...
...
...
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…
...
...
...
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B. REPORT ON
PROPRIETARY TRADING OF FOREIGN INDIRECT INVESTMENTS (if any)
(only applicable to monthly reports)
I. Implementation of own-account trading limits
of foreign indirect investments
No.
Assessment indices
Amount
Foreign currency
Billion VND (converted)
I
...
...
...
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1
US Dollar
2
British Pound
...
...
...
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3
EURO
4
…
II
...
...
...
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1
US Dollar
2
British Pound
...
...
...
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3
EURO
4
…
III
...
...
...
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1
US Dollar
2
British Pound
...
...
...
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3
EURO
4
…
IV
...
...
...
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1
US Dollar
2
British Pound
...
...
...
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3
EURO
4
…
(Conversions between
VND and foreign currencies are made by using real trading exchange rates
available at the trading time)
...
...
...
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No.
Assets
Reporting period
Preceding period
%/same period last year
Foreign currency
Billion VND
Foreign currency
Billion VND
...
...
...
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I.1
Cash and cash
equivalents
Money
...
...
...
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Bank deposits
...
...
...
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Cash equivalents
I.2
...
...
...
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I.3
Stock dividends and
coupons paid
...
...
...
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I.4
Interest earned
...
...
...
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Securities redemption
proceeds awaiting collection (specified in detail)
I.6
Other receivables
...
...
...
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I.7
Other assets
...
...
...
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I.8
Total asset
No.
Liabilities
...
...
...
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Preceding period
%/same period last year
Foreign currency
Billion VND
Foreign currency
Billion VND
II.1
Payables for purchase
of securities (specified in detail)
...
...
...
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II. 2
Other payables
...
...
...
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II.3
Total liabilities
(Conversions between VND and foreign currencies
are made by using real trading exchange rates available at the trading time)
...
...
...
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No.
Assessment indices
Reporting period
Preceding period
Amount accumulated from the beginning of the reporting
year
Foreign currency
Billion VND
Foreign currency
Billion VND
...
...
...
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I
Income earned from
foreign indirect investments
Stock dividends and
coupons obtained
...
...
...
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Interest earned
...
...
...
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Other income (specified
in detail)
II
...
...
...
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Depository fee for
securities traded at foreign countries
...
...
...
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Other fees (specified
in detail)
...
...
...
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Net income earned from
foreign indirect investments (I-II)
IV
Profit (loss)
earned/incurred from foreign indirect investments
...
...
...
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Actual profit (loss)
arising from investments
...
...
...
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Changes in value of
investments during the period
(Conversions between VND and foreign currencies
are made by using real trading exchange rates available at the trading time)
IV. Foreign indirect investment portfolio report
...
...
...
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Asset category (specified in detail)
Quantity
Market price or reasonable price determined at the
reporting date
Total value
Ratio (%) of portfolio to total net asset value
Foreign currency
Billion VND
Foreign currency
Billion VND
...
...
...
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I
Deposit certificates
1
...
...
...
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Total
II
...
...
...
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1
...
...
...
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III
Listed securities
1
...
...
...
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Total
...
...
...
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IV
Listed bonds
1
...
...
...
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Total
...
...
...
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V
Listed fund
certificates
1
...
...
...
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Total
...
...
...
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VI
Other assets
1
...
...
...
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Total
VII
...
...
...
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(Conversions between VND and foreign currencies are
made by using real trading exchange rates available at the trading time)
AUTHORIZED
REPRESENTATIVE OF DEPOSITORY OR SUPERVISORY BANK IN VIETNAM/OVERSEAS
DEPOSITORY
...
...
...
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DIRECTOR
(GENERAL) OF FUND MANAGEMENT COMPANY
(Signature,
full name and seal)
APPENDIX
06
(As a replacement
for Appendix 22 to the Circular No. 228/2012/TT-BTC dated December 27, 2012 of the
Minister of Finance, providing instructions about establishment and management
of real estate investment trusts)
Sample Report on investments of real estate
investment trust/real estate investment company
(To the Circular
No. 91/2019/TT-BTC dated December 31, 2019 of the Minister of Finance,
prescribing amendments and supplements to several circulars on reporting
regulations and administrative procedures applied to fund management companies,
securities investment trusts and investment companies)
Fund management
company's name:...
-------
SOCIALIST
REPUBLIC OF VIETNAM
Independence - Freedom - Happiness
---------------
...
...
...
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……, date
(dd/mm/yyyy) …
REPORT ON
INVESTMENTS OF REAL ESTATE INVESTMENT TRUST/REAL ESTATE INVESTMENT COMPANY
(Made on a
monthly/quarterly/annual basis)
Dear: State
Securities Commission
1. Fund management company's name:
2. Supervisory bank’s name:
3. Real estate investment trust/real estate
securities investment company:
4. Reporting date:
...
...
...
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I. Asset report
No.
Assets
Reporting period
Preceding period
%/same period last year
I.1
Cash and cash
equivalents
...
...
...
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Money
Bank deposits
...
...
...
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Cash equivalents
I.2
Investments (specified
in detail)
...
...
...
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I.3
Revenues generated from
leasing of real property held for investment purposes
I.4
Stock dividends and
coupons obtained
...
...
...
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I.5
Interest earned
I.6
Revenues generated from
real property awaiting collection (specified in detail)
...
...
...
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I.7
Securities redemption
proceeds awaiting collection (specified in detail)
I.8
Other receivables
...
...
...
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I.9
Other assets
I.10
Total asset
...
...
...
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No.
Liabilities
Reporting period
Preceding period
%/same period last year
II.1
Payables for purchase
of real property (specified in detail)
...
...
...
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II.1
Payables for purchase
of securities (specified in detail)
II.2
Other payables
...
...
...
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II.3
Total liabilities
Net assets of the
trust/investment company (I.8-II.3)
...
...
...
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Total number of
outstanding fund certificates
Net asset value per a
fund certificate/stock
...
...
...
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II. Income statement
No.
Assessment indices
Reporting period
Preceding period
Amount accumulated from the beginning of the reporting
year
I
Income generated from
investments
...
...
...
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1
Revenues generated from
real property held for rental purposes
2
Revenues generated from
real estate transfer or disposition
...
...
...
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3
Income from sale of
securities
4
Stock dividends and
coupons obtained
...
...
...
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5
Interest earned
6
Other income
...
...
...
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II
Expenses
1
Payment of fund
management company's management fees
...
...
...
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2
Payment of charges for
depository and supervision services paid to supervisory banks
3
Payment of charges for
fund hosting services, and other payments to related service providers (if
any);
...
...
...
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4
Payment of real
property management service charges
5
Payment of real
property management service charges
...
...
...
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6
Payment of charges for
audit services to audit organizations
7
Payment of charges for
legal counsel, price proposal formulation and other reasonable services, or
remunerations paid to the fund's representative board/governing board;
...
...
...
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8
Payment of costs of
drafting, printing prospectuses, summary prospectuses, financial statements,
transaction confirmations, billing statements and other documents, and
submitting them to investors; costs of fund communication; costs of
organization of general meetings of investors/shareholders, the fund’s
representative board/governing board;
...
...
...
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Payment of costs
related to execution of asset transactions of the fund/company.
10
Other costs (specified
in detail)
...
...
...
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Net income earned from
investments (I-II)
IV
Profit (loss) arising
from investments
...
...
...
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Actual profit (loss)
arising from investments
2
Changes in value of
investments during the period
...
...
...
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Changes in net asset
value caused by investments made within a period (III + IV)
VI
Net asset value
generated at beginning of the period
...
...
...
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Changes in net asset
value of the fund/company within the period:
Including
...
...
...
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Changes in net asset
value of the fund/company due to activities related to investments within the
period
2
Changes in net asset
value due to payment of earning yields/stock dividends to
investors/shareholders within the period
...
...
...
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Net asset value
generated at end of the period
IX
Annual average profit
(only applicable to annual reports)
...
...
...
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Average annual profit
rate (only applicable to annual reports)
III. Investment
portfolio report
No.
Asset category (specified in detail)
Quantity
Market price or reasonable price determined at the
reporting date
...
...
...
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Ratio of portfolios to total asset value of the
fund/company
I
Real property held for
investment purposes
1
...
...
...
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Total
...
...
...
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II
Listed securities
1
...
...
...
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2
...
...
...
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Total
III
Unlisted securities
...
...
...
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1
2
...
...
...
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Subtotal
...
...
...
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Total of all securities
IV
Bonds
...
...
...
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1
2
...
...
...
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Total
...
...
...
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Other securities
1
...
...
...
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2
Subtotal
...
...
...
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Total of all securities
...
...
...
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Other assets
1
...
...
...
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2
Total
...
...
...
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VII
Money
...
...
...
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Cash
2
Deposit certificates
...
...
...
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3
Negotiable instruments…
…
...
...
...
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Total
...
...
...
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Grand total of all
value of portfolios
IV. Report on lending,
redemption and buyback transactions
No.
Description of transactions (indexed by
target and counterparty)
Counterparty
...
...
...
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Tenure
Leased or borrowed amount
Transaction time
Reporting time
Date (dd/mm/yyyy)
Ratio of contract value to net asset
value of the fund/company
Date (dd/mm/yyyy)
Ratio of contract value to net asset
value of the fund/company
...
...
...
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1
Loans (indexed
by specific agreements)
1.1
…
...
...
...
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…
…
...
...
...
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I
Total
value of loans/net asset value
...
...
...
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2
Repos
agreements[7] (indexed by specific agreements)
2.1
…
...
...
...
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…
…
...
...
...
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II
Total
value of Repo agreements to net asset value
...
...
...
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Total
value of borrowings/net asset value (=I+II)
3
Lending
of securities (indexed by types of agreement)
...
...
...
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...
...
...
...
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…
...
...
...
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Total
value of agreements/net asset value
4
Repo
agreements[8] (indexed by specific agreements)
4.1
...
...
...
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…
...
...
...
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IV
...
...
...
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B
Total
value of leases/net asset value (=III +IV)
...
...
...
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V. Several other
indices
No.
Assessment indices
Reporting period
Preceding period
I
Indices measuring
business performance
...
...
...
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1
Ratio of management fee
payable to the fund management company to the average net asset value within
a period (%)
2
Ratio of depository and
supervisory fees payable to the supervisory bank to the average net asset
value within a period (%)
...
...
...
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Ratio of fund hosting
service charges and other expenses that the fund management company has to
pay related service providers to the average net asset value within a period
(%) (if any)
4
Proportion of auditing
costs payable to the auditing body (if any) to the average net asset value
within a period (%)
5
Proportion of costs
paid the real estate investment body to the average net asset value within
the period (%)
...
...
...
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6
Proportion of costs
paid the real estate appraisal body to the average net asset value within the
period (%)
7
Proportion of charges
for legal counsel, price proposal formulation and other reasonable services,
or remunerations paid to the fund's representative board (governing board) to
the average net asset value within a period (%)
...
...
...
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Proportion of operating
expenses to the average net asset value within a period (%)
9
Ratio of income
(including income earned from interest, stock dividends, coupons and price
differentials) to the net asset value
II
Others
...
...
...
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1
Size of the
fund/company at start of the period
Total value of
outstanding fund certificates/securities at start of the period
...
...
...
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2
Changes in the size of
the fund/company during the period
Total number of fund
certificates/securities additionally issued during the period
...
...
...
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Total actual amount of
capital raised within the period
3
Size of the
fund/company at end of the period
Total market value of
outstanding fund certificates/securities of the fund/company at end of the
period
...
...
...
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Total number of
outstanding fund certificates/securities at end of the period
4
Holding rate of fund
certificates/securities of the fund management company and other stakeholders
at end of the period
5
...
...
...
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6
Holding rate of fund
certificates/securities of foreign investors/shareholders at end of the
period (reported on a quarterly basis)
7
Net asset value per a
fund certificate/stock at end of the period
...
...
...
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8
Market value per a fund
certificate/share at end of the period
VI. Transaction fee
report
(only applicable to annual reports)
No.
Names (tinder symbols) of securities companies (making
trades of which amount is 5% greater than total trade determined within a
period)
Relationship with the fund management company
...
...
...
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Average transaction fee
Average stock exchange transaction fee
Value of the fund’s transactions during the reporting
period
Total amount of securities transactions performed during
the reporting period of the fund/company
Ratio of securities transactions of the fund/company via
securities companies during the reporting period
(1)
(2)
...
...
...
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(4)
(5)
(6)=(4)/(5%)
(7)
(8)
1
...
...
...
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…
...
...
...
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Total
...
...
...
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(only applicable to semi-annual reports and
annual reports)
No.
Information about stakeholders (specifying names of
individuals and entities)
ID card/business registration certificate number/issuance
date
Information about transaction
Total value of transaction
Type of asset traded (specified in detail)
Trading time/price
I
...
...
...
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1
Nguyen Van A
...
...
...
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…
II
Members of the
governing board/board of directors, major shareholders, members contributing
more than 5% of the charter capital of the fund management company or the
authorized representatives thereof
...
...
...
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1
Nguyen Van B
....
...
...
...
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III
Transactions with the
fund management company
...
...
...
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IV
Supervisory bank
V
Members of the fund’s
representative board/the securities investment company’s governing board
...
...
...
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1
Nguyen Van C
…
...
...
...
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VI
Major shareholders of
the fund and authorized representatives of large investors
...
...
...
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VII
Persons whose rights
and interests are connected with persons and entities referred to in I, II,
III, IV, V, VII
VIII
Investment
trusts/securities investment companies under the control of the same
investment
...
...
...
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IX
Other cases prescribed
in the Charter of the fund/company
VIII. Report on real
property trades of the real estate investment trust/real estate securities
investment company prescribed in Article 14 in the Circular No. 228/2012/TT-BTC
...
...
...
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Information about counterparty of the fund/company
(specifying names of persons or entities in detail)
ID card/business registration certificate number/issuance
date
Information about transaction
Total value of transaction
Type of asset traded (specified in detail)
Trading time/price
I
Real property
transactions in which the purchase prices exceed 110%, and the selling prices
are 90% lower than, of the reference prices determined by valuing bodies
within the maximum duration of six (06) months from the trading time
1
...
...
...
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2
Company B
...
...
...
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…
II
Real property
transactions, each of which value accounts for 10% of total asset value of
the fund/company after completion; or value of a particular transaction
together with those transactions performed previously with counterparties
within twelve (12) latest months that makes up more than 10% of total value
of assets of the fund/company after completion
1
...
...
...
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2
Company D
...
...
...
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…
III
Other real property
transactions that need to be ratified by the general meeting of
investors/shareholders, the representative board of the fund/the governing
board of the securities investment company under the provisions of the
charter of the fund/company
1
...
...
...
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2
Company F
...
...
...
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….
IV
Real property
transactions with real estate management service providers
V
...
...
...
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IV
Other cases under the
provisions of the charter of the real estate investment trust/company
B. REPORT ON
OWN-ACCOUNT TRADING OF FOREIGN INDIRECT INVESTMENTS OF THE REAL ESTATE
INVESTMENT TRUST OR SECURITIES INVESTMENT COMPANY (if any)
(only applicable to monthly reports)
I. Implementation of own-account trading limits
of foreign indirect investments
No.
Assessment indices
Amount
Foreign currency
...
...
...
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I
Limit for own-account
trading endorsed by the State Bank of Vietnam
1
US Dollar
2
...
...
...
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3
EURO
4
…
...
...
...
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II
Total end-of-month
investments
1
US Dollar
2
...
...
...
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3
EURO
4
…
...
...
...
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III
Total during-month
investment
1
US Dollar
2
...
...
...
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3
EURO
4
…
...
...
...
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IV
Residual investment
allowance (IV = I-II)
1
US Dollar
2
...
...
...
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3
EURO
4
…
...
...
...
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(Conversions between
VND and foreign currencies are made by using real trading exchange rates
available at the trading time)
II. Foreign indirect investment asset report
No.
Assets
Reporting period
Preceding period
%/same period last year
Foreign currency
Billion VND
...
...
...
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Billion VND
I.1
Cash and cash
equivalents
...
...
...
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Money
Bank deposits
...
...
...
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Cash equivalents
...
...
...
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I.2
Investments (specified
in detail)
I.3
Stock dividends and
coupons obtained
...
...
...
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I.4
Interest earned
...
...
...
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I.5
Securities redemption
proceeds awaiting collection (specified in detail)
I.6
...
...
...
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I.7
Other assets
...
...
...
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I.8
Total asset
...
...
...
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Liabilities
Reporting period
Preceding period
%/same period last year
Foreign currency
Billion VND
Foreign currency
Billion VND
...
...
...
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Payables for purchase
of securities (specified in detail)
II.2
Other payables
...
...
...
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II.3
Total liabilities
...
...
...
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(Conversions between
VND and foreign currencies are made by using real trading exchange rates
available at the trading time)
III. Foreign indirect investment income
statement
No.
Assessment indices
Reporting period
Preceding period
Amount accumulated from the beginning of the reporting
year
Foreign currency
Billion VND
...
...
...
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Billion VND
I
Income earned from
own-account trading of foreign indirect investments
...
...
...
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Stock dividends and
coupons obtained
Interest earned
...
...
...
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Other income (specified
in detail)
...
...
...
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II
Foreign indirect
investment expenses
Depository fee for
securities traded at foreign countries
...
...
...
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Other fees (specified
in detail)
...
...
...
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III
Net income earned from
foreign indirect investments (I-II)
IV
...
...
...
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Actual profit (loss)
arising from investments
...
...
...
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Changes in value of
investments within the period
...
...
...
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IV. Foreign indirect investment portfolio report
No.
Asset category (specified in detail)
Quantity
Market price or reasonable price determined at the
reporting date
Total value
Ratio (%) portfolio to total net asset value
Foreign currency
Billion VND
...
...
...
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Billion VND
I
Deposit certificates
1
...
...
...
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Total
...
...
...
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II
Government bonds
1
...
...
...
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Total
III
...
...
...
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1
...
...
...
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IV
Listed bonds
1
...
...
...
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Total
...
...
...
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V
Listed fund
certificates
1
...
...
...
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Total
...
...
...
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VI
Other assets
1
...
...
...
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Total
...
...
...
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VII
Grand total of all
value of portfolios
(Conversions between
VND and foreign currencies are made by using real trading exchange rates
available at the trading time)
...
...
...
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AUTHORIZED
REPRESENTATIVE OF DEPOSITORY BANK IN VIETNAM/OVERSEAS DEPOSITORY
(Signature,
full name and seal)
DIRECTOR
(GENERAL) OF FUND MANAGEMENT COMPANY
(Signature,
full name and seal)
APPENDIX
07
(As a replacement
for Appendix 18 and 19 to the Circular No. 229/2012/TT-BTC dated December 27,
2012 of the Minister of Finance, providing instructions about establishment and
management of exchange traded funds)
Sample Report on ETF’s investments
(To the Circular
No. 91/2019/TT-BTC dated December 31, 2019 of the Minister of Finance,
prescribing amendments and supplements to several Circulars on reporting
regulations and administrative procedures applied to fund management companies,
securities investment trusts and investment companies)
...
...
...
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SOCIALIST
REPUBLIC OF VIETNAM
Independence -
Freedom - Happiness
---------------
No……..
……, date
(dd/mm/yyyy) …
REPORT ON ETF’S INVESTMENTS
(Made on a
Monthly/Quarterly/Annual basis)
Dear: State
Securities Commission
1. Investment management company's name:
...
...
...
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3. Fund’s name:
4. Reporting date:
A. GENERAL REPORT ON ETF’S INVESTMENTS (Unit:…VND)
I. Asset report
No.
Assets
Reporting period
Preceding period
%/same period last year
...
...
...
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Cash and cash
equivalents
Money
...
...
...
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Bank deposits
Cash equivalents
...
...
...
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Investments (specified
in detail)
I.3
Stock dividends and
coupons obtained
...
...
...
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Interest earned
I.5
Securities redemption
proceeds awaiting collection (specified in detail)
...
...
...
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Other receivables
I.7
Other assets
...
...
...
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Total asset
Liabilities
Reporting period
Preceding period
%/same period last year
...
...
...
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Payables for purchase
of securities (specified in detail)
II.2
Other payables
...
...
...
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Total liabilities
III
Fund’s net asset
(I.8-II.3)
...
...
...
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Total number of
outstanding fund certificates
V
Net asset value per a
fund certificate (III/V)
...
...
...
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No.
Assessment indices
Reporting period
Preceding period
Amount accumulated from the beginning of the reporting
year
I
Income generated
from investments
...
...
...
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1
Stock dividends and
coupons obtained
2
Interest earned
...
...
...
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3
Other income
II
Expenses
...
...
...
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1
Payment of fund
management company's management fees
2
Payment of charges for
depository and supervision services paid to supervisory banks
...
...
...
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3
Payment on charges for
fund hosting services, transfer agency commissions and other payments to
related service provides;
4
Payment of charges for
audit services to audit bodies;
...
...
...
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5
Payment of charges for
legal counseling services, charges for price proposal document preparation
services and other reasonable services, and payment on remunerations to the
fund’s representative board;
6
Payment of costs of
drafting, printing prospectuses, summary prospectuses, financial statements,
transaction confirmations, billing statements and other documents, and
submitting them to investors; costs of fund communication; costs of
organization of general meetings of investors and the fund’s representative
board;
...
...
...
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7
Payment of costs
related to execution of asset transactions of funds.
8
Other costs (specified
in detail)
...
...
...
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III
Income generated
from investments (I-II)
IV
Profit (loss)
arising from investments
...
...
...
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1
Actual profit (loss)
arising from investments
2
Changes in value of
investments during the period
...
...
...
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V
Changes in net asset
value caused by the fund’s investments made within a period (III + IV)
VI
Net asset value
generated at beginning of the period
...
...
...
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VII
Changes in the
fund’s net asset value during the period:
Including
...
...
...
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1
Changes in the fund’s
net asset value caused by activities related to investments within the period
2
Changes in the fund’s
net asset value caused by distribution of its income to investors within the
period
...
...
...
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VIII
Net asset value
generated at end of the period
IX
Annual average
profit (only applicable to annual reports)
...
...
...
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Average annual profit
rate (only applicable to annual reports)
III. Investment
portfolio report
No.
Asset category (specified in detail)
Quantity
...
...
...
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Total value
Ratio of portfolios to total asset value
I
Listed securities
1
...
...
...
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Total
...
...
...
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II
Bonds
1
...
...
...
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Total
...
...
...
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III
Other securities
1
...
...
...
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Total
IV
Other assets
1
...
...
...
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2
...
...
...
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Total
V
Money
1
...
...
...
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2
Deposit certificates
...
...
...
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3
Negotiable instruments…
…
...
...
...
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Total
VI
...
...
...
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IV. Report on asset
transactions
No.
Description of transactions (indexed by
target and counterparty)
Counterparty
Target/Collateral
...
...
...
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Leased or borrowed amount
Transaction time
Reporting time
Date (dd/mm/yyyy)
Ratio of contract value to net asset
value
Date (dd/mm/yyyy)
Ratio of contract value to net asset
value
1
Loans (indexed
by specific agreements)
...
...
...
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I
...
...
...
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2
Repos
agreements[9] (indexed by specific agreements)
2.1
…
...
...
...
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II
Total
value of Repo agreements/net asset value
...
...
...
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A
Total
value of borrowings/net asset value (=I+II)
3
...
...
...
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3.1
…
...
...
...
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III
Total
value of agreements/net asset value
4
Repo
agreements[10] (indexed by specific agreements)
...
...
...
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…
...
...
...
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…
...
...
...
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Total
value of agreements/net asset value
B
Total
value of leases/net asset value (=III +IV)
...
...
...
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V. Several other indices
No.
Indices
Reporting period
Preceding period
I
...
...
...
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1
Ratio of management fee
payable to the fund management company to the average net asset value within
a period (%)
2
Ratio of depository and
supervisory fees payable to the supervisory bank to the average net asset
value within a period (%)
...
...
...
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3
Ratio of fund hosting
service charges, transfer agency commissions and other expenses that the fund
management company has to pay related service providers to the average net
asset value within a period (%)
4
Proportion of auditing
costs payable to the auditing body (if any) to the average net asset value
within a period (%)
5
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6
Proportion of operating
expenses to the average net asset value within a period (%)
7
Turnover ratio within a
period (%) = (Total value of portfolios purchased + Total value of portfolios
sold) x 100%/2x x the average net asset value within a period
...
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II
Others
1
Fund's size at start of
the period
...
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Total number of
outstanding fund units at start of the period
2
Changes in the fund’s
size during the period
...
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Total number of fund
units issued during the period
Total actual amount of
capital raised within the period
Total number of fund
units repurchased during the period
...
...
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3
Fund's size at end of
the period
Total value of
outstanding fund certificates at end of the period
...
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Total number of
outstanding fund units at end of the period
4
Holding rate of fund
certificates of the investment management company and other stakeholders at
end of the period
5
Holding rate of fund
certificates of 10 largest investors at end of the period
...
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6
Holding rate of fund
certificates of 10 foreign investors at end of the period
7
Total number of
investors taking stakes in the fund, inclusive of trading in registered form
...
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Net asset value per
each fund unit at end of the month
VI. Transaction fee
report
(only applicable to annual reports)
No.
Names (tinder symbols) of securities companies (making
trades of which amount is 5% greater than total trade determined within a
period)
Relationship with the fund management company
Percentage of the fund’s trades performed at specific
securities companies
...
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Average stock exchange transaction fee
Amount of securities transactions performed during the
reporting period
Total amount of securities transactions performed during
the reporting period
Ratio of securities transactions via securities companies
during the reporting period
(1)
(2)
(3)
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(5)
(6)=(4)/(5)(%)
(7)
(8)
1
...
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...
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Total
B. REPORT ON
PROPRIETARY TRADING OF ETF’S FOREIGN INDIRECT INVESTMENTS (if any)
...
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1. I. Implementation of own-account trading
limits of foreign indirect investments
No.
Assessment indices
Amount
Foreign currency
Billion VND (converted)
I
Limit for own-account
trading endorsed by the State Bank of Vietnam
...
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1
US Dollar
2
…
II
...
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1
US Dollar
2
…
...
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III
Total during-month
investments
1
US Dollar
2
...
...
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IV
Residual investment
allowance (IV = I-II)
1
US Dollar
...
...
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2
…
(Conversions between
VND and foreign currencies are made by using real trading exchange rates
available at the trading time)
II. Foreign indirect investment asset report
No.
Assets
Reporting period
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%/same period last year
Foreign currency
Billion VND
Foreign currency
Billion VND
I.1
Cash and cash
equivalents
...
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Money
...
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Bank deposits
Cash equivalents
...
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I.2
Investments (specified
in detail)
...
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I.3
Stock dividends and
coupons obtained
I.4
...
...
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I.5
Securities redemption
proceeds awaiting collection (specified in detail)
...
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I.6
Other receivables
...
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Other assets
I.8
Total asset
...
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No.
Liabilities
Reporting period
Preceding period
%/same period last year
Foreign currency
...
...
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Foreign currency
Billion VND
II.1
Payables for purchase
of securities (specified in detail)
...
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II.2
Other payables
II.3
Total liabilities
...
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(Conversions between VND and foreign currencies
are made by using real trading exchange rates available at the trading time)
III. Foreign indirect investment income
statement
No.
Assessment indices
Reporting period
...
...
...
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Amount accumulated from the beginning of the reporting
year
Foreign currency
Billion VND
Foreign currency
Billion VND
I
Income earned from
own-account trading of foreign indirect investments
...
...
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Stock dividends and
coupons obtained
...
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Interest earned
Other income (specified
in detail)
...
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II
Foreign indirect
investment expenses
...
...
...
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Depository fee for
securities traded at foreign countries
...
...
...
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III
Net income earned from
foreign indirect investments (I-II)
...
...
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IV
Profit (loss)
earned/incurred from foreign indirect investments
...
...
...
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Actual profit (loss)
arising from investments
Changes in value of
investments during the period
...
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(Conversions between VND and foreign currencies
are made by using real trading exchange rates available at the trading time)
IV. Foreign indirect investment portfolio report
No.
Asset category (specified in detail)
Quantity
Market price or reasonable price determined at the
reporting date
...
...
...
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Ratio (%) of portfolio to total net asset value
Foreign currency
Billion VND
Foreign currency
Billion VND
I
Deposit certificates
1
...
...
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Total
...
...
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II
Government bonds
1
...
...
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Total
...
...
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III
Listed securities
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
...
...
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VII
Grand total of all
value of portfolios
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(Conversions between VND and foreign currencies are
made by using real trading exchange rates available at the trading time)
AUTHORIZED
REPRESENTATIVE OF DEPOSITORY BANK IN VIETNAM/OVERSEAS DEPOSITORY
(Signature,
full name and seal)
DIRECTOR
(GENERAL) OF INVESTMENT MANAGEMENT COMPANY
(Signature, full
name and seal)
[1] This is an agreement to sell
securities under which the fund as the seller (borrowing party) agrees to
repurchase such securities.
[2] This is an agreement to purchase securities
under which the fund as the buyer (lending party) agrees to redeem such
securities.
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[4] This is an agreement to purchase
securities under which the fund as the buyer (lending party) agrees to redeem
such securities.
[5] This is an agreement to sell
securities under which the securities investment company as the seller
(borrowing party) agrees to repurchase such securities.
[6] This is an agreement to buy
securities under which the securities investment company as the buyer (lending
party) agrees to repurchase such securities.
[7] This is an agreement to sell
securities under which the securities investment company as the seller
(borrowing party) agrees to repurchase such securities.
[8] This is an agreement to purchase
securities under which the securities investment company as the buyer (lending
party) agrees to redeem such securities.
[9] This is an agreement to sell
securities under which the fund as the seller (borrowing party) agrees to
repurchase such securities.
[10] This is an agreement to purchase
securities under which the fund as the buyer (lending party) agrees to redeem
such securities.